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Found 2682 results. Displaying page 101 of 179

5 November 2020

Carrera Corporation Ltd

Carrera Corporation Ltd (carreracorporationltd.com) may be operating a scam. It claims to offer investment plans with unrealistically high returns.

Tags

Imposter website, Suspected scam, Scams

Type

Page
15 June 2023

Uoncrypto – Unregistered, withdrawal fees demanded

We recommend caution when dealing with Uoncrypto.com. Uoncrypto offers New Zealanders investment plans with unrealistically high returns on crypto products but is not registered on the financial service providers register (FSPR) to provide financial services in New Zealand.

Tags

Investor warning, Consumer

Type

Page
21 June 2018

Everest International Group Limited

The offer of derivatives has not been undertaken by Everest or its director nor do they operate www.everestinter.com website. It appears that an unidentified third party is involved. New Zealand residents should exercise caution before dealing with the website.

Tags

Suspected scam, Scams

Type

Page
19 April 2017

Central Spot Trading Ltd operating as Opteck

Opteck or Central Spot Trading Ltd is not registered in New Zealand to offer financial services in New Zealand.

Tags

International regulator alerts, Scams

Type

Page
19 April 2017

Opteck

Opteck is not registered in New Zealand to offer financial services in New Zealand.

Tags

International regulator alerts, Scams

Type

Page
24 March 2020

FMA COVID-19 Update 24 March 2020

Update 24 March 2020: Financial advice is not covered by the definition from the Government of workplaces/offices that need to remain open but it clearly remains an important service.

Tags

COVID-19, New Financial Advice regime, Financial Adviser, Roles, Business, News & Insights

Type

Page
5 November 2020

FAP standard conditions full licence RIS

This Regulatory Impact Statement (RIS) discusses standard conditions for financial advice provider (FAP) licences, to be
imposed by the FMA.

Tags

RIS, Financial Advice Provider, Roles, Standard conditions, Licensing & registration, Business

Type

PDF
17 December 2015

Consultation paper Forestry scheme issues and exemption proposals

This consultation is for Forestry scheme issuers, supervisors, managers and investors.It aims to: Seek views from the industry and investors on whether forestry schemes should be granted exemptions from certain obligations, and outline FMA’s view on how schemes can approach some
compliance obligations.

Tags

Consultations, Roles, Business, Supervisor

Type

PDF
17 December 2015

Consultation paper proposed exemptions for existing property schemes

This consultation is for property scheme managers, supervisors, custodians and investors. It aims to:
outline the FMA’s view on how existing property
schemes can approach new compliance obligations, and
seek views from the industry and investors on whether these schemes should be granted exemptions from certain obligations.

Tags

Consultations, Roles, Business, Supervisor

Type

PDF
1 December 2014

Consultation Fund update template and guidance for calculating risk indicators

This paper is for market participants that manage funds and for their supervisors and investors. It explains how we propose to use two of the tools available to the FMA under the Financial Markets Conduct Act 2013 (FMC Act) and the Financial Markets Conduct Regulations 2014 (Regulations) to support the new offers regime for managed funds. We are consulting on a proposed ‘frameworks or methodologies’ (FM) template for fund updates and new guidance for calculating risk indicators.

Tags

Consultations, Roles, Business, Managed investment schemes

Type

PDF
16 March 2015

Proposed financial reporting exemptions for small and medium sized DIMS providers consultation paper

The FMA is considering a class exemption for small and medium-sized licensed DIMS providers from certain financial reporting obligations. Our proposal is to put in place an exemption that will gradually introduce reporting and auditing requirements based on the size of the DIMS provider.

Tags

Discretionary investment management scheme (DIMS), Exemptions, Roles, Business

Type

PDF
13 March 2015

Financial Markets Conduct Act exemptions consultation paper

The offer and management of most financial products will fall under the standard ‘regulated offer’ regime or within the Schedule 1 statutory exclusions. However, there are a few areas where the FMA may need to use class exemptions, frameworks, or methodologies and designations (the FMA’s
legislative tools).
We want preliminary comments on matters we believe should be considered for support by the
FMA’s legislative tools, but for which we have not yet developed policy proposals. Your feedback will
be considered in the development of our proposals

Tags

Consultations, FMC Act, Legislation, Business

Type

PDF
23 February 2023

Notice of approved auditing courses

Section 3(1)(e) of the prescribed minimum standards requires an individual who applies for a licence (under section 11 of the Act) after 30 June 2014 to have successfully completed a professional course in auditing approved by FMA. For the purposes of this section, FMA has approved the professional courses in auditing as documented in this PDF.

Tags

Auditors, Roles, Licensing & registration, Business

Type

PDF
10 October 2016

Consultation regulatory returns for prescribed intermediary services

This consultation aims to gain feedback on our proposals for regulatory returns for licensed crowdfunding and peer-to-peer lending service providers.

Tags

Crowdfunding providers, Consultations, Roles, Business, Peer-to-peer lending service providers

Type

PDF
9 July 2018

Consultation paper on legislative notices and unnecessary compliance cost

This consultation paper is for participants who rely on our legislative notices; legal advisers; and other interested parties. It seeks feedback on whether any notice granted by us insufficiently addresses, or inadvertently creates, unnecessary compliance costs.

Tags

Consultations, Business

Type

PDF