Back

Search results

Found 2689 results. Displaying page 166 of 180

  1. 12 December 2018

    Bitcoin Revolution Limited

    The FMA has issued a warning that Bitcoin Revolution Limited could be involved in a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  2. 27 March 2014

    Unsolicited Offers Monitoring Report

    In this report we set out our findings and observations based on our monitoring activities on 14 February 2014.
    Tags
    Compliance, Monitoring, Offer disclosure for equity and debt offers, Roles, Reports and Papers, Business, Market operator
    Type
    Page, Report

  3. 3 July 2014

    Review of non-filing of financial statements

    The non-filing of financial statements by some financial markets participants is a persistent problem and has prompted FMA to undertake a review of issuers’ compliance with their financial reporting obligations.
    Tags
    Directors, Roles, Reports and Papers, Business
    Type
    Page, Financial reporting, Report

  4. 9 September 2019

    Growing New Zealand’s Capital Markets 2029

    NZX and the Financial Markets Authority (FMA) welcomed the release of the Capital Markets 2029 report, saying the 10-year vision and growth agenda would create more opportunities for Kiwis to grow personal wealth, help New Zealand businesses to prosper, and help future-proof the country’s economy.
    Tags
    Financial market infrastructures, Roles, Reports and Papers, Business, Market operator
    Type
    Page, Report

  5. 20 February 2018

    Conduct Outcomes Report

    This report outlines how we responded to the areas of misconduct we saw during 2017. It also gives an overview of our supervision activity for the parts of the financial services industry we regulate.
    Tags
    AML/CFT, Crowdfunding providers, Cryptocurrencies, Directors, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Independent trustee, Roles, Reports and Papers, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    Page, Report

  6. 24 November 2015

    Guidance note on risk indicators and description of managed funds

    Guidance note on risk indicators and description of managed funds is for managers and supervisors of managed funds. It gives guidance on how to calculate risk indicators, when to update a PDS, how to describe a fund’s volatility, and in certain cases how to name your fund.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  7. 1 October 2014

    Getting the best outcome from your AML/CFT audit

    Getting the best outcome from your AML/CFT audit is intended to help our reporting entities, especially small financial adviser businesses, get value from their audit.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    Page, Guidance

  9. 15 March 2023

    Fake bond offer - esgbonds-nz.com / HSBCnz.com

    NZ residents have been approached by individuals claiming to be from HSBC New Zealand and offering an “HSBC New Zealand ESG Bond” with Fake PDS emailed from the esgbonds-nz.com and hsbcnz.com domains.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  10. 3 March 2023

    Consultation: AML/CFT Act - Draft regulations public consultation

    Consultation published by The Ministry of Justice (the Ministry) on proposed changes to regulations made under the Anti-Money Laundering and Countering Financing of Terrorism Act (AML/CFT Act). Consultation closed on 14 April 2023.
    Tags
    Consultations, AML/CFT, Legislation, Roles, Business
    Type
    Page

  11. 15 February 2023

    FMA issues interim stop order to Validus and its associated persons

    The Financial Markets Authority has issued an Interim Stop Order (Order) to Validus and Associates (registered in Delaware, USA) pursuant to section 465 of the Financial Markets Conduct Act 2013 (the Act).
    Tags
    Media release, Enforceable Undertaking, News & Insights, Enforcement
    Type
    Page

  12. 24 May 2021

    FMA investor profile - Riki Manarangi

    Our ongoing series of monthly profiles of investors around NZ. This month, Riki Manarangi, startup founder and key relationships manager for the NZ Shareholders’ Association.
    Tags
    FMA stories, Investor information, Article, Consumer, News & Insights
    Type
    Page

  13. 28 March 2023

    Prime Capital and associated websites

    Prime Capital purports to be based in New Zealand and offers unrealistically high returns on Crypto Currency investments.
    Tags
    Investor warning, Consumer
    Type
    Page

  14. 10 May 2023

    FMA censures Aurora Financial Group Limited for misleading clients

    FMA has censured Aurora Financial Group Limited (Aurora Financial) for misleading existing and potential clients about KiwiSaver returns.
    Tags
    Media release, Financial Advice Provider, Financial Adviser, Censure, Roles, Powers, Business, News & Insights, Enforcement
    Type
    Page