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  1. 15 December 2022

    FMA warns Pencarrow Private Equity Management for AML/CFT record-keeping failures

    We have formally warned Pencarrow Private Equity Management Limited for breaching record-keeping requirements under the AML/CFT Act.
    Tags
    Media release, Enforceable action, Formal warning, AML/CFT formal warning, Powers, Investigations, Roles, Business, Managed investment schemes, News & Insights, Enforcement
    Type
    Page

  2. 6 May 2021

    CLSAP (formerly KVB Kunlun) admits to anti-money laundering breaches

    CLSA Premium New Zealand Limited (CLSAP NZ) has admitted to breaches of the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act, following proceedings brought by the Financial Markets Authority – Te Mana Tātai Hokohoko (FMA).
    Tags
    AML/CFT, Derivatives, Roles, Ways to invest, Investing, Media release, Business, Consumer, News & Insights, Enforcement
    Type
    Page

  3. 24 May 2011

    Incomplete Applications Slow AFA Approvals

    Up to 700 financial advisers may have to stop giving advice on KiwiSaver, managed funds and other investment products on 1 July because they haven't completed the qualifications needed to be an Authorised Financial Adviser (AFA).
    Tags
    Media release, News & Insights
    Type
    Page

  4. 22 May 2012

    Cold-calling share scam

    New Zealand investors are in danger of being fleeced by a sophisticated new cold-calling share scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  5. 13 April 2021

    FMA provides breakdown of financial advice providers in the new regime

    The Financial Markets Authority (FMA) has provided transitional licence numbers under the new financial advice regime, revealing how many financial advice providers are operating in New Zealand. It follows the start of the new financial advice regime last month.
    Tags
    New Financial Advice regime, Media release, Financial Advice Provider, Financial Services Legislation Amendment Act (FSLAA), Roles, Business, News & Insights
    Type
    Page

  7. 20 September 2023

    KiwiSaver 2023 – Holding firm as contributions feature

    Opinion piece from Stuart Johnson, FMA Chief Economist following the release of the KiwiSaver Annual Report 2023.
    Tags
    KiwiSaver providers, Opinion, Managed Investment Schemes, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page
    • Suspected scam

    18 June 2024

    Shelly Cullen – Convicted Pyramid Scheme Promoter

    The FMA is warning the public to be cautious of financial and cryptocurrency products and services being promoted by Shelly Rose Cullen (Ms. Cullen).
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  9. 28 June 2021

    A guide to talking about money online

    Talking about money or investing can cross over into providing financial advice. This is a guide for consumers, social media influencers, bloggers and anyone wanting to discuss money matters online.
    Tags
    Financial advice, Reports and Papers, Article, Consumer, News & Insights
    Type
    Page, Resource

  13. 1 December 2010

    Financial Advisers Regulatory Regime Comes Into Force

    The new regulatory regime for financial advisers begins today, with the first Authorised Financial Advisers receiving their certificates of authorisation at a ceremony in Auckland from Commissioner for Financial Advisers, David Mayhew. The regulatory regime will be phased in between today and 1 July 2011.
    Tags
    Media release, FMA, News & Insights
    Type
    Page

  15. 2 May 2023

    ‘5 mins with the FMA’ podcast #6: Financial Advice Providers

    ‘5 mins with the FMA’ podcast #6: We talk to Michael Hewes about New Zealand’s new-look financial advice regime, which has just passed a major milestone, with all financial advice providers now required to hold or operate under a full license.
    Tags
    Financial Advice Provider, Roles, Licensing & registration, Podcast, Business, News & Insights
    Type
    Page, Podcast