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Found 4106 results. Displaying page 14 of 274

  1. 25 November 2021

    www.oceaniatradinggroup.com

    FMA advises that www.oceaniatradinggroup.com is an imposter website. There are false claims made on the website that they are associated with the legitimate NZ company Oceania Trading Group Limited (NZBN: 9429042121473).
    Tags
    Imposter website, Suspected scam, Consumer, Scams
    Type
    Page

  2. 30 March 2021

    Financial Markets Conduct (US Futures Commission Merchants) Exemption Notice 2020

    The Financial Markets Conduct (US Futures Commission Merchants) Exemption Notice 2020 provides relief to accredited NZX derivatives participants that are domiciled in the US and registered as futures commodity merchants (FCMs) with the Commodity Futures Trading Commission - expired.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  4. 13 August 2015

    Market misconduct risks: a guide for MIS managers

    Market misconduct risks: a guide for MIS managers information sheet is to help Managed Investment Scheme (MIS) managers understand how to manage market misconduct risks in trading activity.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  6. 19 July 2023

    Invested Capital, IC Solutions – Unregistered business, cold calling

    IC Solutions offers trading options in forex, cryptocurrency, and CFDs, however is not registered on the Financial Service Providers Register (FSPR) to provide financial services to New Zealand residents.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  7. 11 June 2021

    Temporary extension for certain reporting deadlines

    The FMA is providing temporary relief to eligible entities a one-month extension to file their audited financial statements and comply with certain related reporting deadlines. The relief is available for eligible entities with balance dates between 31 March 2021 and 31 December 2021. Some conditions apply.
    Tags
    COVID-19, News & Insights
    Type
    Page, Financial reporting

  8. 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

  9. 7 October 2016

    Corporate Enterprises PTY Limited

    The director of Option One (Aust) Pty Limited is the director of Corporate Enterprises PTY Limited, trading as Option Giants, about whom we have received reports of client funds being withheld.
    Tags
    International regulator alerts, Scams
    Type
    Page

  10. 24 November 2015

    Consultation paper: Draft guidance on risk indicators and descriptions of managed funds

    Consultation paper: Draft guidance on risk indicators and descriptions of managed funds. This consultation paper proposes guidance on how managed funds should describe a fund’s risk category, the methodology for calculating risk indicators, what to look out for when naming the funds to reflect their risk profile, and when to update investors when a fund’s risk category changes.
    Tags
    Offer information, Managed investment schemes, Roles, Business
    Type
    Page

  11. 20 February 2018

    FMA publishes 2017 Conduct Outcomes Report

    FMA published its Conduct Outcomes Report for the calendar year 2017, setting out some of the key issues and actions taken by the regulator’s enforcement and supervision teams.
    Tags
    Conduct, Media release, Business, News & Insights
    Type
    Page

  12. 25 October 2018

    FMA publishes annual report 2018

    FMA annual report for the financial year ending June 30 2018. The report highlights a number of key activities that took place in the year, including the launch of the joint FMA/RBNZ Culture and Conduct review of banks and life insurers.
    Tags
    Governance, Media release, FMA, News & Insights
    Type
    Page

  13. 7 July 2023

    Climate related disclosures implementation approach

    The Financial Sector (Climate-related Disclosures and Other Matters) Amendment Bill (CRD Bill) received Royal assent on 27 October 2021. This document briefly explains the Financial Sector (Climate-related Disclosures and Other Matters) Amendment Act 2021 (the CRD legislation) and outlines the Financial Markets Authority’s (FMA) implementation approach for the CRD regime over a period of approximately 4 years, through to 2025/26. It sets out the roles and responsibilities of the various government agencies, to help industry understand ‘who is doing what’ with regard to CRD.
    Tags
    Authorised body under a FAP, Client money or property services provider, Directors, Banking, Roles, Offer disclosure for equity and debt offers, Insurance Providers, Climate related disclosure, Financial Institutions, Climate Reporting Entities, Business, FMA
    Type
    PDF, Guidance

  14. 19 February 2015

    FMA DIMS seminar presentation

    The Christchurch DIMS Seminar powerpoint provides information about: What is a DIMS; when is it DIMS; when it's not DIMS; an example of DIMS; types of DIMS; contingency DIMS requirements, client agreements, investment authorities, what AFAs should do; DIMS that aren't Contingency DIMS; what is considered personalised or Class?,; decisions for AFAs currently authorised for DIMS; licensing action; tips and fees.
    Tags
    Discretionary investment management scheme (DIMS), Roles, Business
    Type
    Page, Guidance