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Found 2974 results. Displaying page 57 of 199

  1. 8 July 2022

    Investor warning: NorthWest Options Exchange

    NorthWest Options Exchange, through their website nwoex.com does not hold a Derivative Issuer License and is not a registered financial service provider in New Zealand or licensed by the FMA.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  2. 1 March 2019

    ASX 24 derivatives market review

    The FMA published the findings of its obligations review of the ASX 24 derivatives market. See more in our media release.
    Tags
    Derivatives, Ways to invest, Investing, Media release, Consumer, News & Insights
    Type
    Page

  3. 15 November 2017

    Outcome of FMA investigation into Goldman Sachs NZ Ltd

    The Financial Markets Authority (FMA) has concluded an investigation into certain trading activity by Goldman Sachs New Zealand LTD (GS). The GS investigation was prompted by concerns arising from an investigation into trading by Mark Warminger and Milford Asset Management. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  4. 20 October 2022

    Thematic review of use of the wholesale investor exclusion

    Findings from the FMA’s thematic review of wholesale offers of financial products, along with guidance for offerors and those who provide confirmation for eligible investor certificates.
    Tags
    Fair dealing, Offer information, Offer disclosure for equity and debt offers, Roles, Offers of financial products, Reports and Papers, Managed Investment Schemes, Supervisors, Business, News & Insights
    Type
    Page, Guidance

  5. 20 June 2023

    Services

    This section of the FMA website provides licensing, supervision and guidance information for all market participants who are licenced and monitored by the FMA.
    Tags
    Roles, Business
    Type
    Page

  6. 9 September 2021

    ‘No action’ relief as a result of COVID-19

    COVID-19 is having a significant impact on many market participants. We recognise that this may lead to practical difficulties which affect their ability to meet their regulatory obligations. Where a market participant breaches, or expects to breach, a regulatory obligation as a result of the COVID-19 circumstances and seeks relief from the FMA, the primary approach we intend to take is ‘no-action’.
    Tags
    COVID-19, News & Insights
    Type
    Page

  7. 6 November 2020

    FMA releases standard conditions for licensing of financial advice

    The Financial Markets Authority (FMA) has released the final standard conditions for a full Financial Advice Provider licence and confirmed three classes of financial advice service, following an extensive consultation with the industry.
    Tags
    Compliance, New Financial Advice regime, Regulation, Media release, Business, News & Insights
    Type
    Page

  8. 18 May 2017

    Former financial adviser pleads guilty to four charges under Crimes Act

    Anthony Wilson, a former Registered Financial Adviser pleaded guilty at the Auckland District Court to two charges of making a false document for pecuniary advantage. The charges were filed by the Financial Markets Authority (FMA) under the Crimes Act. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  9. 16 June 2022

    Investor warning: Goldridge Investment Limited

    Goldridge Investment Limited and goldridgeinvestmentlimited.com (the website)are not registered to provide financial services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  10. 25 March 2024

    CBL managing director Peter Harris admits continuous disclosure and fair dealing contraventions and agrees Enforceable Undertaking

    The FMA has reached agreement with former CBL Corporation Limited (In Liquidation) (CBLC) managing director Peter Harris on claims relating to continuous disclosure breaches and misleading conduct (the Continuous Disclosure Proceeding). 
    Tags
    Media release, Enforceable undertaking, Powers, Financial Institutions, Business, News & Insights, Enforcement
    Type
    Page

  11. 16 November 2017

    US International Investment Trade Authority

    The US International Investment Trade Authority is falsely claiming to be a financial services regulator and endorsing products and services from questionable sources.
    Tags
    Fake regulator, Scams
    Type
    Page

  12. 11 February 2021

    platinumpartnerslimited.com

    platinumpartnerslimited.com could be involved in a scam.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  14. 1 March 2018

    Queue Option

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

  15. 12 April 2018

    Hakopa, Williams and Partners

    Hakopa, Williams and Partners is not a registered New Zealand Company and is not registered to provide financial services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page