Back

Search results

Found 2522 results. Displaying page 10 of 169

  1. 25 July 2016

    Consultation paper: Reviews of the Financial Markets Authority funding and the Financial Markets Authority levy

    Consultation paper: Reviews of the Financial Markets Authority funding and the Financial Markets Authority levy. We are seeking views on the proposals to provide class exemptions which provide co-operative companies and industrial and provident societies a lighter path of compliance with the Financial Markets Conduct Act 2013 (FMC Act) when they offer their members shares of minimal value.
    Tags
    Consultations, Business, FMA
    Type
    Page

  2. 7 April 2016

    Consultation paper: Exemption for small offers of co-operative shares

    Consultation paper: Exemption for small offers of co-operative shares. We are seeking views on the proposals to provide class exemptions which provide co-operative companies and industrial and provident societies a lighter path of compliance with the Financial Markets Conduct Act 2013 (FMC Act) when they offer their members shares of minimal value.
    Tags
    Offer disclosure for equity and debt offers, Offer information, Consultations, Exemptions, Roles, Business, FMA
    Type
    Page

  3. 23 May 2019

    Superannuation products

    Superannuation schemes are managed fund investments. When you save via a superannuation scheme, your money is pooled with other New Zealander’s in your scheme and is spread across different kinds of investments. Some schemes offer additional benefits such as life or disability insurance. If you’re considering joining a workplace savings scheme instead of KiwiSaver, make sure you compare the benefits first.
    Tags
    KiwiSaver & Superannuation, Consumer
    Type
    Page

  4. 19 October 2022

    FMA warns InvestNow for AML/CFT deficiencies and failures

    FMA has issued a formal warning to InvestNow Saving and Investment Service Limited for failing to comply with anti-money laundering requirements.
    Tags
    AML/CFT, Client money or property services provider, Media release, Enforceable action, Roles, Formal warning, AML/CFT formal warning, Powers, Business, News & Insights, Enforcement
    Type
    Page

  5. 29 April 2024

    Beneficial ownership guideline

    This guideline is to assist reporting entities in meeting the requirement to perform customer due diligence on the customer and beneficial owners of the customer under sections 11-26 of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘the Act’).
    Tags
    Roles, Reporting entities, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Managed investment schemes, Peer-to-peer lending service providers, Supervisor
    Type
    PDF, Guidance

  7. 23 August 2021

    FMA issues warning to Sharesies for AML/CFT breaches

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has issued a formal warning to Sharesies Limited and Sharesies Nominee Limited for failing to have sufficient anti-money laundering procedures, policies, and controls in place.
    Tags
    AML/CFT, Roles, Media release, Enforceable action, Business, News & Insights, Enforcement
    Type
    Page

  8. 19 October 2022

    InvestNow Saving and Investment Service Limited

    The FMA has issued a formal warning to InvestNow Saving and Investment Service Limited for failing to comply with the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act.
    Tags
    Powers, AML/CFT, Roles, Formal warning, Business, Enforcement
    Type
    Page

  9. 21 July 2011

    NZF prospectus withdrawn after FMA investigation

    NZF Money Limited (NZF) has withdrawn its 2010 debt prospectus from the market following an investigation by the Financial Markets Authority (FMA).
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  11. 1 February 2013

    NZ finance company collapses (2006–2012)

    The scale and circumstances of the Finance industry failure since 2006 gave rise to concerns of inappropriate behaviour and breaches of the Securities Act and a programme of investigations into the failures was initiated. Read more.
    Tags
    Enforcement
    Type
    Page

  12. 1 May 2015

    Grandegoldens Pty Limited

    Grandegoldens continues to solicit client money through its website despite its recent deregistration and has false and misleading aspects of its website.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  13. 26 May 2023

    Fake offer of Suncorp fixed term deposit

    WARNING: We are aware that a New Zealand resident is unable to recover the money paid for a fixed term deposit purporting to be offered by Suncorp New Zealand.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  14. 1 February 2013

    NZ finance company collapses (2006–2012)

    The scale and circumstances of the Finance industry failure since 2006 gave rise to concerns of inappropriate behaviour and breaches of the Securities Act and a programme of investigations into the failures was initiated. Read more.
    Tags
    Enforcement
    Type
    Page

  15. 3 May 2016

    Craigs Investment Partners Limited

    The FMA conducted an investigation into potential breaches of the Anti-Money
    Laundering and Countering Financing of Terrorism Act 2009 in relation
    to Craigs. Read more.
    Tags
    AML/CFT, Roles, Formal warning, Powers, AML/CFT formal warning, Business, Enforcement
    Type
    Page