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Found 3776 results. Displaying page 152 of 252

  1. 26 June 2015

    Calculation of returns for DIMS providers

    The Calculation of returns for DIMS providers information sheet outlines what methodology we expect providers of Discretionary Investment Management Services (DIMS) licensed under the Financial Markets Conduct Act 2013 (Act) (DIMS licensees) to use when calculating returns required by the Financial Markets Conduct Regulations 2014 (Regulations).
    Tags
    Discretionary investment management scheme (DIMS), Roles, Business
    Type
    Page, Guidance, Information Sheet

  2. 22 December 2023

    CBL

    FMA has reached agreement with CBL Corporation Limited (In Liquidation) (CBLC) and four of CBL's former directors in respect of the FMA's claims of continuous disclosure breaches and misleading conduct
    Tags
    Court – civil, Powers, Enforcement
    Type
    Page

  5. 5 November 2019

    EvisionFX Group

    We are concerned that New Zealand investors could be targeted by EvisionFX Group under the misrepresentation that they are regulated in NZ when they are not.
    Tags
    Unregistered business, Investor warning, Consumer, Scams
    Type
    Page

  6. 13 December 2011

    FMA announces full repayment of funds for Kiwi Finance investors

    The Financial Markets Authority announced that debenture investors in Kiwi Finance Ltd will receive full reimbursement and are to be repaid approximately $1.2 million. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  11. 7 July 2021

    FMA cancels Fund Managers Otago licence

    The Financial Markets Authority (FMA) – Te Mana Tātai Hokohoko – has cancelled the managed investment scheme manager licence of Fund Managers Otago (FMO).
    Tags
    Enforceable action, Roles, Media release, Business, Managed investment schemes, News & Insights, Enforcement
    Type
    Page

  15. 24 July 2020

    Derivatives Issuer Sector Risk Assessment

    This sector risk assessment summarises the key risks posed by licensed Derivatives Issuers (DIs) to the FMA’s objective of promoting fair, efficient and transparent financial markets. It is based on a self-assessment completed by DIs, as well as our interactions with DIs and their clients since FMC Act licensing began. This information will be useful to help licensed DIs understand our focus areas and ensure they comply with our expectations and best practice.
    Tags
    Reports and Papers, Derivative Issuer, Roles, Business, News & Insights
    Type
    Page