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  1. 28 May 2020

    FMA warns financial adviser for advice to clients about COVID-19

    FMA has issued a formal warning to a financial adviser who made recommendations to clients that they urgently move their investments to ‘low risk’ funds in the wake of COVID-19. The adviser failed to clarify that the advice may not be suitable for all clients.
    Tags
    Financial Adviser, COVID-19, Media release, Roles, Business, News & Insights
    Type
    Page

  2. 31 August 2022

    Parsons Advisory Ltd.

    Parsons Advisory Ltd are an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  3. 11 November 2021

    APOLLINARIS LIMITED

    APOLLINARIS LIMITED is an AML/CFT reporting entity
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    Page

  7. 31 August 2022

    MADDISON FINANCIAL SERVICES LIMITED

    MADDISON FINANCIAL SERVICES LIMITED is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  9. 30 September 2014

    FMA issues warning about General Equity

    The Financial Markets Authority (FMA) has issued a warning about General Equity (previously named General Equity Building Society), a New Zealand registered building society.
    Tags
    Media release, News & Insights
    Type
    Page

  10. 24 April 2012

    Court supports FMA adviser decision

    The Wellington District Court has dismissed an appeal by Sean Wood against a Financial Markets Authority decision to decline his application for authorisation as an Authorised Financial Adviser (AFA). Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  11. 19 May 2011

    Statement on Whimp Decision

    The Court has confirmed that the 'deferred payment' offers made by Mr Bernard Whimp and associated entities were misleading. FMA accepts the Court's decision. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  12. 28 September 2010

    Commission Consults on Standard Conditions for QFEs

    The Securities Commission invites submissions on proposed standard conditions for financial adviser businesses that apply for Qualifying Financial Entity (QFE) status. This follows the Commission's consultation early this month on the licence conditions for Authorised Financial Advisers.
    Tags
    Media release, News & Insights
    Type
    Page