Back

Search results

Found 2522 results. Displaying page 6 of 169

  1. 1 December 2017

    AML/CFT interpreting ordinary course of business guideline

    This guideline is designed to help clarify the meaning of the phrase “in the ordinary course of business”. The meaning of this phrase is important if your business conducts one (or more) of the activities listed under the definitions of financial
    institution”, “designated non-financial business or profession”, and “high-value dealer” in the Anti-Money Laundering and Countering Financing of Terrorism Act
    2009 (AML/CFT Act).
    Tags
    AML/CFT, Roles, Business
    Type
    PDF, Guidance

  2. 14 December 2017

    AML/CFT interpreting 'ordinary course of business' guideline

    The AML/CFT interpreting 'ordinary course of business' guideline is designed to help clarify the meaning of the phrase "in the ordinary course of business" in the definition of financial institution in the AML/CFT Act 2009. The meaning of this phrase is important if your business conducts one (or more) of the activities listed under the definitions of financial institution”, “designated non-financial business or profession”, and “high-value dealer” in the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  3. 5 April 2023

    Here’s why complaints are really 'moments of truth'

    Clare Bolingford, FMA Executive Director Regulatory Delivery talks about the value of complaints to financial services companies.
    Tags
    Banking, Conduct, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Business, News & Insights
    Type
    Page

  4. 15 March 2021

    Frequently asked questions

    The FMA answers many questions on a daily basis. We have recorded the most frequently asked questions on this page. Check this page first before submitting your question to us - it may save you time. If you can’t find the information you’re looking for then please submit your question to us via [email protected] or call our helpline on 0800 434 566. .
    Tags
    Business
    Type
    Page

  5. 20 October 2022

    Spotlight on: Wholesale investing

    Spotlight on wholesale investment offers aimed at experienced investors, often with large sums of money to invest.
    Tags
    Wholesale investing, Ways to invest, Investing, Article, Consumer, News & Insights
    Type
    Page

  6. 22 September 2021

    Don’t freak out if markets go down

    FMA's editorial team talks about financial volatility and what to do when markets go down.
    Tags
    Investing, Article, Consumer, News & Insights
    Type
    Page

  7. 20 August 2021

    Sharesies Limited - Formal Warning

    FMA 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, Business, Enforcement
    Type
    PDF

  8. 21 January 2023

    Disputes and consumer protection

    The Banking Ombudsman investigates and resolves disputes between customers and their banks.
    They also deal with complaints about a range of non-bank financial service providers. The Reserve Bank of New Zealand is the prudential supervisor of banks and insurance companies.
    Tags
    Consumer
    Type
    Page

  9. 1 May 2015

    Capital One Forex Limited

    Capital One continues to solicit client money through its website despite failing to respond to a request for information.
    Tags
    Suspected scam, Scams
    Type
    Page

  10. 19 June 2024

    Jacco Moison - Understanding and using new climate-related disclosures

    What sort of information do you need about a company or a fund before you put money into it? Financial performance, forecasts, plans and strategies for the future?
    Tags
    Article, Climate related disclosure, Opinion, Roles, Ethical finance, Ways to invest, Investing, Business, Consumer, Managed investment schemes, News & Insights
    Type
    Page

  11. 10 October 2019

    Circle Markets Limited - Formal Warning

    Notification of a formal warning from the FMA to Circle Markets Ltd under section 80 of the Anti-money laundering and countering finance of terrorism Act 2009. 10 October 2019.
    Tags
    AML/CFT, Roles, Business, Enforcement
    Type
    PDF

  12. 20 March 2020

    Tiger Brokers (NZ) Limited - Formal Warning

    FMA issued a formal warning to NZX-accredited broker Tiger Brokers (NZ) Limited for failing to have several adequate anti-money laundering protections in place. 20 March 2020.
    Tags
    AML/CFT, Roles, Business, Enforcement
    Type
    PDF

  13. 20 October 2022

    Investments for wholesale and eligible investors

    Wholesale investment offers are aimed at experienced investors, often with large sums of money to invest. Read more about wholesale investors and investments on this page.
    Tags
    Wholesale investing, Ways to invest, Investing, Consumer
    Type
    Page

  14. 25 February 2013

    Ajay Kumar Vallabhaneni

    Mr Vallabhaneni is no longer authorised to provide financial adviser services.
    Tags
    Unregistered business, Investor warning, Consumer, Scams
    Type
    Page

  15. 2 February 2024

    Forbes Capital Partners – Suspected scam

    Investor warning: We received a complaint that representatives of FCP had befriended a NZ resident on social media and encouraged him to invest money. When he attempted to withdraw his money, FCP withheld the funds and told him to pay an advance fee.
    Tags
    Suspected scam, Scams
    Type
    Page