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  1. 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

  2. 30 November 2021

    International regulator warning: www.skywinprofit.com

    WARNING: Hong Kong Securities and Futures Commission (HKSFC) published a warning about the skywinprofit website on 16 Jun 2021 for falsely claiming to be licensed by the HKSFC and purporting to be associated HKSFC licensed entities.
    Tags
    International regulator alerts, Suspected scam, Consumer, Scams
    Type
    Page

  3. 29 July 2019

    Girard Montague

    We recommend exercising caution before dealing with Girard Montague, Richard Sinclair, Richard Tan and the website https:ljwww.girard- montague.com as Girard Montague is not listed on the FSPR and is not an incorporated company in New Zealand.
    Tags
    Suspected scam, Scams
    Type
    Page

  4. 4 July 2019

    OneLife Network Limited and OneCoin Limited

    We recommend extreme caution before investing with OneLife or OneCoin as we are concerned they bear the characteristics of a scam, including withholding client funds and promising unrealistic returns.
    Tags
    Suspected scam, Scams
    Type
    Page

  5. 20 May 2016

    Cambrian Corporation Limited

    The FMA has ordered a foreign exchange educator Cambrian to change its marketing materials on the basis that they were misleading or deceptive, and it had made unsubstantiated statements about its services.
    Tags
    Enforcement
    Type
    Page

  6. 26 May 2021

    Karatbars International GmbH, Karatbit Foundation and associated companies, Freebay

    We recommend exercising caution before dealing with Karatbars International GbmH, Karatbit Foundation and associated companies as they are not registered companies or financial service providers in New Zealand. Seminars have been held in both Auckland and Christchurch. We have been made aware that Karatbars is associated with Freebay.
    Tags
    International regulator alerts, Consumer, Scams
    Type
    Page

  7. 12 April 2017

    HPoption

    HPoption is not registered to provide financial services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  8. 17 January 2017

    Horizon Holdings Limited

    Horizon Holdings Limited is not incorporated in New Zealand nor registered on the FSPR therefore is not permitted to provide financial services to New Zealand residents.
    Tags
    International regulator alerts, Scams
    Type
    Page

  9. 11 July 2019

    Skyway Capital/Skyway Group

    Skyway Capital, the Skyway Group, SkyWay Investment Group, and RSW Investment Group Ltd are not registered as a financial service provider in New Zealand and is therefore not permitted to provide financial services to New Zealand residents.
    Tags
    Suspected scam, International regulator alerts, Scams
    Type
    Page

  10. 19 December 2019

    Cloud Technology & Investments Pty Ltd

    Cloud Technology & Investments Pty Ltd is not registered on the New Zealand Financial Service Providers Register as a financial service provider.
    Tags
    Unregistered business, Investor warning, Consumer, Scams
    Type
    Page

  11. 3 April 2017

    FMA confirms short-term derivatives to be licensed

    The Financial Markets Authority has today confirmed that businesses selling short-duration derivatives need to be licensed. The Financial Markets Conduct Act introduced licensing for derivatives issuers in December 2014.
    Tags
    Derivatives, Ways to invest, Investing, Media release, Consumer, News & Insights
    Type
    Page

  12. 2 May 2011

    Bernard Whimp

    Shareholders in several listed companies have complained to the Securities Commission about offers made in March 2011 from limited partnerships associated with Mr Bernard Whimp. Read more.
    Tags
    Scams
    Type
    Page

  13. 27 January 2023

    FMA Investor Profile - Jane Wrightson

    Retirement Commissioner, Jane Wrightson describes herself as a ‘life-long learner’ in this FMA investor profile.
    Tags
    Article, KiwiSaver & Superannuation, Consumer, News & Insights
    Type
    Page

  14. 30 September 2021

    AML/CFT Monitoring Report

    AML/CFT Monitoring Report summarises the FMA's monitoring activities to help firms and individuals better understand our expectations.
    Tags
    AML/CFT, Compliance, Directors, Roles, Monitoring, Reporting entities, Reports and Papers, Business, News & Insights
    Type
    Page, Report

  15. 16 February 2022

    FMA investor profile - Bradie Claydon

    This month's FMA Investor Profile features Bradie Claydon, a wife and mum of three who is a Registered Legal Executive by day and runs the social media platform Kiwi Girl on a Budget in her spare time.
    Tags
    Investing, Insights, Article, Consumer, News & Insights
    Type
    Page