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  1. 1 May 2020

    FMA’s reviews of financial reporting

    FMA’s reviews of financial reporting is a statement outlining our approach to financial reporting reviews, highlighting selected areas of interest for our 2019/20 reviews. It will be useful for anyone involved in preparing or approving financial reporting for FMC reporting entities. Read more.
    Tags
    Governance, Directors, Roles, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Business, FMA, Managed investment schemes, Peer-to-peer lending service providers, Nominated representatives
    Type
    Page, Financial reporting, Guidance

  2. 26 January 2021

    ASX 24 derivatives market review released

    The Financial Markets Authority (FMA) has published the findings of its obligations review of the ASX 24 derivatives market for the period of 1 July 2018 to 30 June 2020.
    Tags
    Compliance, Derivatives, Ways to invest, Investing, Roles, Media release, Business, Consumer, Market operator, News & Insights
    Type
    Page

  4. 28 March 2023

    Prime Capital and associated websites

    Prime Capital purports to be based in New Zealand and offers unrealistically high returns on Crypto Currency investments.
    Tags
    Investor warning, Consumer
    Type
    Page

  5. 26 April 2023

    Warning: Imposter website DCMAtrading.com

    This website purports to offer trading in foreign exchange, cryptocurrency, and CFDs, but it is not licensed for these activities in New Zealand
    Tags
    Imposter website, Scams
    Type
    Page

  6. 3 November 2020

    Financial Markets Conduct (Sharesies Limited) Exemption Notice 2020

    The Financial Markets Conduct (Sharesies Limited) Exemption Notice 2020 exempts Sharesies Limited and Sharesies Group Limited in relation to an offer of shares in Sharesies Group Limited to shareholders of Sharesies Limited under a proposed scheme of arrangement pursuant to Part 15 of the Companies Act 1993.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  7. 18 May 2023

    Financial Markets Conduct (Embark Early Education Limited) Exemption Notice 2023

    The Financial Markets Conduct (Embark Early Education Limited) Exemption Notice 2023 exempts Embark Early Education Limited (Embark AU) from Part 3 of the Financial Markets Conduct Act 2013 (the Act) in relation to shares in Embark AU that are to be offered to eligible shareholders under a proposed scheme of arrangement pursuant to Part 15 of the Companies Act 1993.
    Tags
    Exemptions, Business
    Type
    Page, Financial Markets Conduct Act exemptions, Current, Exemption notice

  8. 13 September 2018

    The essentials of being a director

    This guide is intended to provide company directors and prospective directors with a quick reference and overview of some of the key things they should think about. It outlines some of the legal requirements, ethical considerations and best practice areas for directors to consider, to be effective in their role. It is not intended to be comprehensive and includes links to more detailed resources.
    Tags
    Directors, Roles, Business
    Type
    PDF

  9. 26 May 2023

    PTWealthManagement – imposter websites

    We recommend exercising caution when dealing with PTWealthManagement.com and PTWealthManagementLTD.com.
    Tags
    Imposter website, Investor warning, Consumer, Scams
    Type
    Page

  10. 1 December 2020

    Who will need a licence to provide financial advice

    The changes to how we regulate financial advice in New Zealand mean only those operating under licensed financial advice providers can give advice to retail clients. This fact sheet was drafted by the FMA ahead of the new financial advice regime to assist in helping navigate the new regime as a potential licence holder.
    Tags
    Financial Adviser, Roles, Financial Advice Provider, Licensing & registration, Financial Services Legislation Amendment Act (FSLAA), Business
    Type
    PDF, Information Sheet

  11. 2 June 2023

    BuntyCorp – Imposter website

    We recommend exercising caution when dealing with BuntyCorp.com. BuntyCorp offers crypto investments with unrealistically high returns and is not registered to provide financial services here in New Zealand.
    Tags
    Imposter website, Investor warning, Consumer, Scams
    Type
    Page

  12. 12 June 2023

    Market Radar – Unreasonably withholds clients’ funds

    The entity offers trading in cryptocurrency, forex and CFDs via their website. However, Market Radar is not a registered entity, nor a registered financial service provider in New Zealand. As such, they are not registered to provide financial products or services to New Zealand residents, nor do they hold a Derivatives Issuer Licence.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  13. 13 December 2021

    Squirrel P2P Trustee Limited

    FMA formally warned Squirrel P2P Trustee Limited for failing to carry out certain obligations as a custodian. The entity provides a custodial service for the peer-to-peer lending service of Squirrel Money Limited.
    Tags
    Formal warning, Powers, Enforcement
    Type
    Page

  14. 1 October 2021

    Firma Foreign Exchange Corporation (NZ) Limited

    Firma Foreign Exchange Corporation (NZ) Limited was censured after finding it had materially contravened a number of its obligations as a licensed derivatives issuer.
    Tags
    Censure, Powers, Derivative Issuer, Roles, Business, Enforcement
    Type
    Page

  15. 12 June 2023

    Rolvi Trade – unregistered, potential pyramid scheme

    Rolvi Trade is offering cryptocurrency products and services via its website rolvitrade.com. It is not registered on the Financial Service Providers Register or regulated to provide these services and products to New Zealand retail clients.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page