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  1. 21 June 2017

    FMA seeks feedback on robo-advice exemption

    The FMA is seeking feedback on its proposals to allow entities to provide personalised financial advice generated by a computer programme or algorithm (robo-advice). This would be a temporary measure before new legislation is passed by Parliament.
    Tags
    Media release, Digital advice providers, Business, News & Insights
    Type
    Page

  3. 2 August 2021

    WTI Limited

    WTI Limited is not a registered financial service provider in New Zealand or licensed by the FMA. We therefore recommend exercising caution when dealing with this entity.
    Tags
    Imposter website, Suspected scam, Consumer, Scams
    Type
    Page

  4. 12 April 2013

    FMA completes review of Mighty River Power offer document

    The Financial Markets Authority has completed its review of the Mighty River Power share offer document and is satisfied that it contains the information potential investors need to make an informed decision.
    Tags
    Media release, News & Insights
    Type
    Page

  6. 7 July 2010

    Dominion and North South Finance Directors Charged

    The Securities Commission has laid criminal charges and issued civil proceedings against Dominion Finance Group Limited and North South Finance Limited directors Vance Arkinstall, Richard Bettle, Terence Butler, Ann Butler, Paul Forsyth and Robert Barry Whale. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  7. 13 November 2019

    Green Knight Financial Services

    The FMA recommends exercising caution before dealing with Green Knight Financial Services and the website https://greenknightfinancialservices.com. We believe Green Knight Financial Services has the hallmarks of a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  8. 10 September 2019

    TradeLTD

    The FMA recommends exercising caution before dealing with TradeLTD and the website
    www.tracleltd .co m as TradeLTD is not listed on the FSPR and Is not an incorporated company in New Zealand. Individuals from TradeLTD have been contacting New Zealand residents with investment offers and withholding client funds. This has the hallmarks of a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  9. 12 November 2019

    McKenzie International Investments

    The FMA recommends exercising caution before dealing with McKenzie International Investments and the website https://mckenzieinternationalinvestments.com/. We believe McKenzie International Investments has the hallmarks of a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  10. 11 December 2019

    Orion Holdings Capital Management and OH Capital

    The FMA recommends exercising caution before dealing with Orion Holdings Capital Management (OHCM), OH Capital and their websites www.ohcmgmt.com, and https://ohcapital.com/. The business address in Ontario which OHCM and OH Captial purports to be operating from is false. OHCM is not registered to perform business in Canada in any capacity.
    Tags
    Suspected scam, Scams
    Type
    Page

  11. 27 July 2020

    FMA outlines short-term priorities in response to COVID-19

    The Financial Markets Authority (FMA) has today released an information sheet outlining its priorities over the next three to six months as New Zealand continues to respond to COVID-19.
    Tags
    Compliance, Directors, Governance, Regulation, Regulation updates, Roles, Media release, Business, Consumer, FMA, News & Insights, Enforcement
    Type
    Page

  12. 6 July 2020

    Financial Markets Conduct (Takeovers Panel) Exemption Notice 2020

    The notice exempts the Takeovers Panel (the Panel) from the substantial holding disclosure provisions of the Financial Markets Conduct Act 2013 (the FMC Act) in respect of any relevant interest in quoted voting products of a listed issuer that the Panel has, as the result of an enforceable undertaking.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  13. 14 September 2020

    Coinvest

    The FMA recommends exercising caution before dealing with https://coinvest.ltd/. The website displays a company certificate of incorporation, as evidence of a license which is false and we are concerned this may mislead investors.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  14. 4 March 2011

    Nathans' Director Pleads Guilty to Securities Commission Charges

    John Hotchin, a former director of Nathans Finance NZ Limited (in receivership) ('Nathans') has pleaded guilty to three charges laid by the Securities Commission under section 58 of the Securities Act 1978. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  15. 24 June 2019

    Jarden Investment Nominees Limited

    Jarden Investment Nominees Limited, formerly known as First NZ Capital Investment Nominees Limited is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page