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  1. 15 March 2021

    How do I find an adviser?

    There are a number of ways you can choose a Financial Advice Provider. The key is to know what you want to achieve from that advice, then do your homework to make sure you choose a Financial Advice Provider who meets your needs.
    Tags
    Financial advice, Get advice, Mortgage advice, Insurance advice, Investment advice, Investing, Consumer
    Type
    Page

  2. 15 August 2016

    FMA warns registered financial adviser

    FMA has issued a warning to an individual in relation to suspected misleading or deceptive conduct by a registered financial adviser.
    Tags
    Media release, Financial Adviser, Enforceable Undertaking, Roles, Business, News & Insights, Enforcement
    Type
    Page

  3. 31 October 2014

    Exemptions: Financial Advisers Act 2008

    The Guidance note explains the approach of the Financial Markets Authority (the FMA) to granting exemptions under the Financial Advisers Act 2008. It is intended to provide answers to commonly asked questions in relation to exemptions and to provide information to potential applicants on the process for making an application.
    Tags
    Financial advice, Directors, Roles, Auditors, Financial Adviser, Exemptions, Business, Consumer, Supervisor
    Type
    Page, Guidance

  5. 11 February 2014

    ASX Ltd Financial Product Market Licence 2014

    New Zealand Financial Product Market Licence (Australian Securities Exchange Limited) 2014
    Tags
    Market operator, Roles, Licence, Licensing & registration, Business
    Type
    PDF

  9. 17 April 2019

    BAT Financial Management

    A warning was issued in relation to BAT Financial Management and the website www.BATFinancialmanagement.com and associated persons Dan Johnson and William Davies. Read more.
    Tags
    Suspected scam, Scams
    Type
    Page

  11. 13 November 2019

    Green Knight Financial Services

    The FMA recommends exercising caution before dealing with Green Knight Financial Services and the website https://greenknightfinancialservices.com. We believe Green Knight Financial Services has the hallmarks of a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  12. 15 March 2021

    Problems with your financial adviser

    All licensed financial advice providers must be part of an approved Dispute Resolution Scheme. This means they’re required to send complaints to an agreed third party to sort out if your complaint cannot be resolved directly with you.
    Tags
    Financial advice, Get advice, Investing, Consumer
    Type
    Page

  14. 14 December 2020

    Disclosure framework for integrated financial products

    This document gives guidance on the advertising and disclosure expectations of the Financial Markets Authority in respect of financial products that incorporate non-financial factors.
    Tags
    Offer information, Roles, Offers of financial products, Business
    Type
    Page, Guidance

  15. 28 February 2024

    Tidal Financial Services – Imposter website

    Imposter website alert: tidalfs.com or TidalNZ.site is falsely using the details of the genuine New Zealand company Tidal Financial Services.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page