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Found 1595 results. Displaying page 105 of 107

  3. 18 November 2019

    Investors’ guide to auditing

    FMA guide to auditing for investors.
    Tags
    Investment basics, Investing, Article, Consumer, News & Insights
    Type
    Page

  4. 5 August 2021

    Online investing platforms transform attitudes to investing

    Eight out of 10 New Zealand investors have a more favourable view of investing and financial markets after using online investing platforms, according to research released today by the Financial Markets Authority - Te Mana Tātai Hokohoko.
    Tags
    Crowdfunding providers, Cryptocurrencies, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Roles, Media release, Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers
    Type
    Page

  5. 28 July 2021

    FMA censures FoxPlan for providing and offering unpermitted financial advice services

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has formally censured Wellington-based financial services firm FoxPlan Ltd, after one of its nominated representatives provided services he was not permitted to give and other representatives offered services to clients they were not permitted to give.
    Tags
    Financial Adviser, Roles, Financial Advice Provider, Media release, Enforceable action, Business, News & Insights, Enforcement
    Type
    Page

  6. 25 June 2020

    Investor confidence holds up despite COVID-19 market volatility

    Investor confidence has remained steady for the third year running, in spite of the volatility caused by COVID-19, a Financial Markets Authority (FMA) survey has found. Read the summary and full report here.
    Tags
    Directors, New Financial Advice regime, Financial advice, Roles, Media release, Business, Consumer, News & Insights
    Type
    Page

  8. 7 November 2019

    FMA apologises for privacy breach

    The FMA today apologised for a privacy breach that meant complaints documents sent to the regulator between 2015 and 2017 were potentially accessible via internet searches.
    Tags
    Media release, FMA, News & Insights
    Type
    Page

  9. 21 May 2019

    FMA research highlights gap between what investors expect and what auditors deliver

    An FMA research project with investors, directors, managers and auditors has identified reasonable levels of confidence in audit quality, but also a serious gap in the expectations of investors and what auditors are delivering. The FMA commissioned the research to better understand public and industry perceptions of audit quality in New Zealand.
    Tags
    Auditors, Media release, Roles, Directors, Business, Consumer, News & Insights
    Type
    Page

  10. 4 September 2019

    FMA cancels Barry Kloogh’s financial adviser authorisation

    The Financial Markets Authority (FMA) has cancelled the authorisation of Dunedin-based Mr Barry Edward Kloogh to act as a financial adviser, as a result of concerns regarding compliance with his broker obligations under the Financial Advisers Act 2008.
    Tags
    Financial advice, Compliance, Media release, Business, Consumer, News & Insights, Enforcement
    Type
    Page

  11. 26 March 2019

    FMA publishes guide to shares for investors

    The FMA has published a guide for investors on the nuts and bolts of choosing, buying, owning and selling shares. Read more.
    Tags
    Shares, Ways to invest, Investing, Media release, Consumer, News & Insights
    Type
    Page

  13. 3 May 2019

    Company convicted for abuse of the FSPR

    Morgan DeVere Corporate Finance Limited (Morgan DeVere) has been convicted at the Wellington District Court on two counts of breaching the Financial Services Providers Act 2008 (FSP Act) for falsely claiming it was registered on the Financial Services Providers Register (FSPR). A copy of the judgment can be found here. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  14. 4 August 2022

    Consumer Experience with the Financial Sector Survey

    The Consumer Experience with the Financial Sector survey is our inaugural, nationally representative survey of New Zealand consumers. The FMA commissioned the survey to gain a comprehensive understanding of consumer experiences with the financial sector. The research reveals insights into the mindset and motivations of consumers as they manage their money and deal with financial services firms.
    Tags
    Crowdfunding providers, Derivative Issuer, Financial Advice Provider, Banking, Insurance Providers, Roles, Discretionary investment management scheme (DIMS), Financial Adviser, Offer information, Directors, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    Page, Research

  15. 4 April 2014

    Securities Trustees and Statutory Supervisors - Feedback from monitoring visits

    The findings in this report reflect common issues recorded during our on-site visits of licensees and summarises the overall assessment of monitoring quality (section 1). It also provides key messages for licensees (section 2) and outlines the future focus of monitoring reviews (section 3).
    Tags
    Monitoring, Independent trustee, Roles, Reports and Papers, Business, Supervisor
    Type
    Page, Report