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1. 30 January 2024

   Exemption Notice BGC revocation notice

   This notice, which comes into force on the day after the date of its notification in the Gazette, revokes the Financial Markets Conduct (BGC Partners (Australia) Pty Limited) Exemption Notice 2022.

   Tags

   Type

   PDF

2. 2 February 2024

   Titan Trustees, Monet Heritage, Fox Asset Finance, FCS Assets, Metro Capital – Imposter websites, duplicate websites

   Investor warning: Titan Trustees, Monet Heritage, Fox Asset Finance, FCS Assets, Metro Capital websites are duplicate and offer similar short-term investment plans. None of the websites appear to be registered as Financial Service Providers, as is required to offer financial products in New Zealand.

   Tags

   Suspected scam, Scams

   Type

   Page

3. 2 February 2024

   Axon Holdings – Imposter website

   Investor warning: AxonHoldingsLtd.com is falsely using the details of the registered New Zealand company Axon Holdings Limited using its name, address, and New Zealand Companies Office details.

   Tags

   Imposter website, Suspected scam, Scams

   Type

   Page

4. 13 February 2024

   World Economic Forum OIA response Redacted

   Response to OIA enquiry regarding FMA involvement in World Economic Forum (Redacted).

   Tags

   Type

   PDF, OIA

5. 16 February 2024

   Riseup Trade – Suspected scam

   The FMA considers Forex a derivative. Entities offering derivative services in New Zealand are required to hold a derivatives issuer licence. Riseup Trade does not hold this type of licence, nor is it registered on the Financial Service Providers Register.

   Tags

   Derivative Issuer, Suspected scam, Derivatives, Roles, Business, Consumer, Scams

   Type

   Page

6. 20 February 2024

   CAPITALGROUP (31 HARKER) LIMITED

   CAPITALGROUP (19 ARGYLE) LIMITEDCAPITALGROUP (31 HARKER) LIMITED,
   CAPITALGROUP (37 CORONATION) LIMITED,
   CAPITALGROUP (44 NEWMARK) LIMITED,
   CAPITALGROUP (464 CASHEL) LIMITED,
   CAPITALGROUP (62 MILTON) LIMITED,
   CAPITALGROUP (AWA) LIMITED,
   CAPITALGROUP (DRURY) LIMITED,
   CAPITALGROUP (ENNIS) LIMITED,
   CAPITALGROUP (FEATHERSTON) LIMITED,
   CAPITALGROUP (FORGE1) LIMITED,
   CAPITALGROUP (MALVERN) LIMITED,
   CAPITALGROUP (SACKVILLE) LIMITED,
   CAPITALGROUP (SPEDDING) LIMITED,
   CAPITALGROUP (AIREDALE) LIMITED,
   CAPITALGROUP (OMOKOROA) LIMITED,
   CAPITALGROUP (HOPETOUN) LIMITED,
   CAPITALGROUP (ADDISON) LIMITED,
   CAPITALGROUP (CAMBRIDGE) LIMITED, CAPITALGROUP (POLLEN) LIMITED, CAPITALGROUP (WILLESTON) LIMITED, CAPITALGROUP (PEB) LIMITED, CAPITALGROUP (LOFTS) LIMITED, CAPITALGROUP (42 WOODVILLE) LIMITED, CAPITALGROUP (128 NEVILLE) LIMITED, CAPITALGROUP (62 BLETSOE) LIMITED, CAPITALGROUP (87 BARBOUR) LIMITED, CAPITALGROUP (21 HENDON) LIMITED
   are AML/CFT reporting entities.
   

   Tags

   Type

   Page

7. 22 September 2023

   Finex Group – Suspected scam

   Finex Group offers financial products including forex and cryptocurrency trading, financial education, and advice to New Zealanders. It falsely claims it is a regulated entity, however, is not listed under the Financial Services Provider or New Zealand Companies registers.
   

   Tags

   Suspected scam, Investor warning, Consumer, Scams

   Type

   Page

8. 23 February 2024

   Climate related disclosure levies

   Information regarding levies for climate related disclosures.

   Tags

   Climate related disclosure, Authorised body under a FAP, Banking, Insurance Providers, Financial Institutions, Roles, Climate Reporting Entities, Business, Supervisor

   Type

   PDF

9. 6 March 2024

   Trent and Castle – Cold calling, unregistered

   We have received a report of Trent and Castle representatives cold calling New Zealand residents and offering stock broking and managed investments plans.
   

   Tags

   Suspected scam, Investor warning, Consumer, Scams

   Type

   Page

10. 28 February 2024

    Uwin Capital Limited

    Uwin Capital Limited, FSP479846 is an AML reporting entity.

    Tags

    AML/CFT, Reporting entities, Roles, Business

    Type

    Page

11. 12 March 2024

    NORTH WEST GROUP HOLDINGS LIMITED

    NORTH WEST GROUP HOLDINGS LIMITED is an AML/CFT reporting entity.
    
    

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    Type

    Page

12. 4 March 2024

    J Rothschild – Imposter website, fake FMA documents

    The FMA has had a report about an imposter of J Rothschild contacting New Zealanders through Facebook offering investment opportunities. 

    Tags

    Imposter website, Investor warning, Consumer, Scams

    Type

    Page

13. 20 February 2024

    CAPITALGROUP (37 CORONATION) LIMITED

    CAPITALGROUP (37 CORONATION) LIMITED,CAPITALGROUP (19 ARGYLE) LIMITEDCAPITALGROUP (31 HARKER) LIMITED,
    CAPITALGROUP (44 NEWMARK) LIMITED,
    CAPITALGROUP (464 CASHEL) LIMITED,
    CAPITALGROUP (62 MILTON) LIMITED,
    CAPITALGROUP (AWA) LIMITED,
    CAPITALGROUP (DRURY) LIMITED,
    CAPITALGROUP (ENNIS) LIMITED,
    CAPITALGROUP (FEATHERSTON) LIMITED,
    CAPITALGROUP (FORGE1) LIMITED,
    CAPITALGROUP (MALVERN) LIMITED,
    CAPITALGROUP (SACKVILLE) LIMITED,
    CAPITALGROUP (SPEDDING) LIMITED,
    CAPITALGROUP (AIREDALE) LIMITED,
    CAPITALGROUP (OMOKOROA) LIMITED,
    CAPITALGROUP (HOPETOUN) LIMITED,
    CAPITALGROUP (ADDISON) LIMITED,
    CAPITALGROUP (CAMBRIDGE) LIMITED, CAPITALGROUP (POLLEN) LIMITED, CAPITALGROUP (WILLESTON) LIMITED, CAPITALGROUP (PEB) LIMITED, CAPITALGROUP (LOFTS) LIMITED, CAPITALGROUP (42 WOODVILLE) LIMITED, CAPITALGROUP (128 NEVILLE) LIMITED, CAPITALGROUP (62 BLETSOE) LIMITED, CAPITALGROUP (87 BARBOUR) LIMITED, CAPITALGROUP (21 HENDON) LIMITED
    are AML/CFT reporting entities."
    

    Tags

    Type

    Page

14. 20 February 2024

    CAPITALGROUP (62 MILTON) LIMITED

    CAPITALGROUP (62 MILTON) LIMITED, CAPITALGROUP (19 ARGYLE) LIMITEDCAPITALGROUP (31 HARKER) LIMITED,
    CAPITALGROUP (37 CORONATION) LIMITED,
    CAPITALGROUP (44 NEWMARK) LIMITED,
    CAPITALGROUP (464 CASHEL) LIMITED,
    CAPITALGROUP (AWA) LIMITED,
    CAPITALGROUP (DRURY) LIMITED,
    CAPITALGROUP (ENNIS) LIMITED,
    CAPITALGROUP (FEATHERSTON) LIMITED,
    CAPITALGROUP (FORGE1) LIMITED,
    CAPITALGROUP (MALVERN) LIMITED,
    CAPITALGROUP (SACKVILLE) LIMITED,
    CAPITALGROUP (SPEDDING) LIMITED,
    CAPITALGROUP (AIREDALE) LIMITED,
    CAPITALGROUP (OMOKOROA) LIMITED,
    CAPITALGROUP (HOPETOUN) LIMITED,
    CAPITALGROUP (ADDISON) LIMITED,
    CAPITALGROUP (CAMBRIDGE) LIMITED, CAPITALGROUP (POLLEN) LIMITED, CAPITALGROUP (WILLESTON) LIMITED, CAPITALGROUP (PEB) LIMITED, CAPITALGROUP (LOFTS) LIMITED, CAPITALGROUP (42 WOODVILLE) LIMITED, CAPITALGROUP (128 NEVILLE) LIMITED, CAPITALGROUP (62 BLETSOE) LIMITED, CAPITALGROUP (87 BARBOUR) LIMITED, CAPITALGROUP (21 HENDON) LIMITED
    are AML/CFT reporting entities."
    

    Tags

    Type

    Page

15. 20 February 2024

    CAPITALGROUP (44 NEWMARK) LIMITED

    CAPITALGROUP (44 NEWMARK) LIMITED, CAPITALGROUP (19 ARGYLE) LIMITEDCAPITALGROUP (31 HARKER) LIMITED,
    CAPITALGROUP (37 CORONATION) LIMITED,
    CAPITALGROUP (464 CASHEL) LIMITED,
    CAPITALGROUP (62 MILTON) LIMITED,
    CAPITALGROUP (AWA) LIMITED,
    CAPITALGROUP (DRURY) LIMITED,
    CAPITALGROUP (ENNIS) LIMITED,
    CAPITALGROUP (FEATHERSTON) LIMITED,
    CAPITALGROUP (FORGE1) LIMITED,
    CAPITALGROUP (MALVERN) LIMITED,
    CAPITALGROUP (SACKVILLE) LIMITED,
    CAPITALGROUP (SPEDDING) LIMITED,
    CAPITALGROUP (AIREDALE) LIMITED,
    CAPITALGROUP (OMOKOROA) LIMITED,
    CAPITALGROUP (HOPETOUN) LIMITED,
    CAPITALGROUP (ADDISON) LIMITED,
    CAPITALGROUP (CAMBRIDGE) LIMITED, CAPITALGROUP (POLLEN) LIMITED, CAPITALGROUP (WILLESTON) LIMITED, CAPITALGROUP (PEB) LIMITED, CAPITALGROUP (LOFTS) LIMITED, CAPITALGROUP (42 WOODVILLE) LIMITED, CAPITALGROUP (128 NEVILLE) LIMITED, CAPITALGROUP (62 BLETSOE) LIMITED, CAPITALGROUP (87 BARBOUR) LIMITED, CAPITALGROUP (21 HENDON) LIMITED
    are AML/CFT reporting entities."
    

    Tags

    Type

    Page