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  1. 21 December 2022

    Enforcing the law

    Enforcement and deterrence is a critical part of the work that the FMA undertakes. It plays a key role in raising standards and responding to conduct that presents the greatest risk of harm to our financial markets. Find out more about our approach to enforcement here.
    Tags
    Regulation, Compliance, Enforceable action, Business, Enforcement
    Type
    Page

  2. 21 December 2022

    Enforcing the law

    Enforcement and deterrence is a critical part of the work that the FMA undertakes. It plays a key role in raising standards and responding to conduct that presents the greatest risk of harm to our financial markets. Find out more about our approach to enforcement here.
    Tags
    Regulation, Compliance, Enforceable action, Business, Enforcement
    Type
    Page

  3. 5 April 2022

    Clare Bolingford speech at FSC Connect

    Transcript of speech by FMA's Director of Banking and Insurance, Clare Bollingford, at FSC Connect Panel where she talks about emerging trends in conduct regulation.
    Tags
    Financial Advice Provider, FMA people, Roles, Speeches and presentations , Conduct of Financial Institutions Bill (CoFI), Business, FMA, News & Insights
    Type
    Page

  7. 12 December 2017

    Open letter to managers of collective investment schemes

    Open letter to managers of collective investment schemes ahead of the anti-Money laundering and Countering Financing Terrorism Act 2009.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF, Guidance

  8. 16 December 2021

    FMA raises red flags about Bitminerpool Limited

    Warning: We are aware that a New Zealand resident who has invested through Bitminerpool Limited is unable to withdraw the funds they invested from Bitminerpool Limited’s platform. A large amount of money is required in order to release the funds. We are concerned that Bitminerpool Limited is involved in a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  9. 22 December 2020

    Rodney McCall and Morgan Cooper Limited

    The FMA alleges Mr McCall contacted people and convinced them to ‘invest’ by transferring money into bank accounts he controlled. After incorporating a company, Morgan Cooper Limited, he further cold-called other investors to promote a foreign exchange investment service which did not exist.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  10. 17 December 2021

    FMA warns Squirrel P2P Trustee Limited for historic custodian breaches

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has formally warned Squirrel P2P Trustee Limited for failing to carry out certain obligations as a custodian. The entity provides a custodial service for the peer-to-peer lending service of Squirrel Money Limited.
    Tags
    Roles, Media release, Business, News & Insights, Enforcement, Peer-to-peer lending service providers
    Type
    Page

  11. 18 October 2019

    FMA issues AML/CFT warning to Circle Markets Limited

    The Financial Markets Authority (FMA) has issued a formal warning to a non-licensed derivatives issuer and forex provider, Circle Markets Limited, under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT).
    Tags
    AML/CFT, Roles, Media release, Business, News & Insights
    Type
    Page

  12. 1 September 2011

    Identity verification - Code of Practice

    Customers of financial institutions and casinos can expect more stringent identity checks in the lead up to 30 June 2013 when anti-money laundering legislation comes fully into force. Businesses now have access to guidance on the standard those identity checks should meet.
    Tags
    Media release, News & Insights
    Type
    Page

  13. 1 October 2018

    Class exemptions for managing intermediaries

    Class exemptions for managing intermediaries information sheet explains the conditions for reporting entities whose customers include managing intermediaries and customers of managing intermediaries to be able to rely on the Anti-Money Laundering and Countering Financing of Terrorism (Class Exemptions) Notice 2018.
    Tags
    AML/CFT, Roles, Financial Advice Provider, Business
    Type
    Page, Guidance

  14. 5 October 2020

    Investing Myth #4: 'I'm not rich enough to invest'

    ‘I’m not rich enough to invest’ is an investing myth that is debunked by Mary Holm for the FMA. She talks to several ways that anyone can invest even if they invest small amounts.
    Tags
    Investing, Investment basics, Consumer
    Type
    Page

  15. 17 December 2020

    Sixon Investments

    We recommend that you do not send money to, or trade with, Sixon Investments or any other entities who might approach you and offer assistance in relation to this matter
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page