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  1. 23 April 2024

    Managed investment scheme manager

    A Managed Investment Scheme (MIS) pools money from a number of investors who rely on the investment expertise of the MIS manager. These schemes can be structured in different ways and may invest in a wide range of investments. On this page you will find the licensing and registration and compliance obligations of a MIS manager. You will also find a list of KiwiSaver exempt employers.
    Tags
    Compliance, Obligations, Licensing & registration, Roles, Business, Managed investment schemes
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  2. 5 June 2020

    ANZ Bank New Zealand Limited

    Details of three cases taken by the FMA against ANZ including false and misleading representations over credit card insurance charges alleged contraventions of the Fair Trading Act 1986 by ANZ in relation to the marketing, promotion and sale of interest rate swaps to rural customers from 2005 to 2009 and ANZ Bank New Zealand Ltd challenge of FMA's decision to disclose to third parties, documents the FMA has obtained from ANZ through the exercise of its statutory powers.
    Tags
    Enforceable action, Court – civil, Misleading statement, Powers, Enforcement
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    • Suspected scam

    13 May 2024

    Fake Celebrity Investment Scam – Multiple trading platforms

    The FMA has received several reports regarding fake celebrity or fake influencer endorsement advertisements on social media, promoting online investment schemes.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
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  7. 8 August 2022

    Conduct

    Conduct is how market participants behave and how they serve the needs of customers. It is about how a business operates as a whole, and it’s driven by the culture and the governance of the organisation.This page explains the FMA's expectation of conduct by organisations that fall under its remit
    Tags
    AML/CFT, Roles, Conduct, Independent trustee, Financial Adviser, Financial Advice Provider, Offer disclosure for equity and debt offers, Discretionary investment management scheme (DIMS), Derivative Issuer, Directors, Cryptocurrencies, Crowdfunding providers, Client money or property services provider, Authorised body under a FAP, Auditors, Business, Interposed persons under new financial advice regime, Managed investment schemes, Market operator, Peer-to-peer lending service providers, Supervisor, Nominated representatives
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  8. 31 August 2023

    Community Finance DBG

    Community Finance DBG including: Community Finance Limited and Community Finance Security Trustee Limited
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
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  9. 1 March 2021

    Commercial property syndicate checklist

    This checklist from the FMA explains some of the things to consider before you invest in a property syndicate.
    Tags
    Investing, Article, Consumer, News & Insights
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  11. 7 September 2022

    Spotlight on: Stock lending

    Stock lending is being offered to NZ retail investors. If you’re thinking about participating, understand how it works and the risks.
    Tags
    Investment basics, Online investing platforms, Investor information, Investing, Ways to invest, Managed funds, Shares, Article, Consumer, News & Insights
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  12. 8 April 2022

    Scam operation targeting New Zealand investors

    WARNING: FMA are concerned that a scam operation is targeting New Zealand residents and offering investment in a fixed return managed fund. It is claimed that the investment is offered by Blackrock Investment Management Australia Limited (part of Blackrock Inc.), which is not true. Blackrock Investment Management Australia Limited has confirmed that they are not connected with the offer and/or the entity.
    Tags
    Investing, Imposter website, Suspected scam, Consumer, Scams
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  13. 2 March 2021

    Aplexva

    Aplexva is not a registered entity or financial service provider in New Zealand and is not subject to regulation in New Zealand. We are concerned that Aplexva may be operating a scam. Aplexva’s claims of operating from New Zealand are incorrect.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  15. 19 March 2021

    Jarden Securities Limited

    Jarden Securities Limited, FSP3202, is a licensed derivatives issuer.
    Tags
    Derivative Issuer, Licensed entity, Roles, Reporting entities, Business
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