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Found 6602 results. Displaying page 10 of 441

1. 15 April 2024

   Financial Markets Conduct (Todd Family Office Limited Financial Reporting) Exemption Notice 2024

   The Financial Markets Conduct (Todd Family Office Limited Financial Reporting) Exemption Notice 2024 (Notice) exempts Todd Family Office Limited (TFO) from the obligation in section 461H(1) of the Financial Markets Conduct Act 2013 (Act).

   Tags

   Exemptions, Business

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2. 15 April 2024

   Findex Advice Services NZ Limited

   Findex Advice Services NZ Limited is a DIMS licence holder.

   Tags

   Reporting entities, Discretionary investment management scheme (DIMS), Roles, Business

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3. 12 April 2024

   NZ Compare Rates - Comparison site harvesting investor details

   We are concerned that NZ Compare Rates may be operating a scam. It operates a website claiming to “compare New Zealand’s best investments”.
   

   Tags

   Suspected scam, Investor warning, Consumer, Scams

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4. 12 April 2024

   Multi Global Leaders – Suspected scam

   We recommend caution when dealing with Multi Global Leaders and its website www.MultiGlobalLeaders.com.
   
   

   Tags

   Suspected scam, Investor warning, Consumer, Scams

   Type

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5. 11 April 2024

   Feedback form Proposed exemptions for UK pension transfer advice

   Please submit this feedback form electronically in MS Word format and email it to us at [email protected] with ‘Proposed exemptions for advice on United Kingdom law aspects of defined benefit pension transfers: [your organisation’s name]’ in the subject line. Thank you.

   Tags

   Type

   Word document, Consultation

6. 11 April 2024

   Guidance Notification of incidents relating to the operational resilience of technology systems

   Notification of incidents relating to the operational resilience of technology systems

   Tags

   Type

   PDF, Guidance

7. 11 April 2024

   Market2Cap – Withholding of client funds, suspected scam, overseas regulator warning

   We are aware of a New Zealand investor who has invested through Market2Cap is unable to withdraw the funds they invested, additional fees are required to process funds withdrawals.

   Tags

   Investor warning, Derivative Issuer, Business, Consumer

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   Page

8. 11 April 2024

   Consultation paper: Proposed exemptions for UK pension transfer advice

   Have your say on proposed exemptions for UK firms giving financial advice to New Zealand clients on UK pension transfers.

   Tags

   Roles, Business, Managed investment schemes, Supervisor

   Type

   PDF, Consultation

9. 11 April 2024

   Coinone Investments Limited – Imposter, withholding client funds

   We are aware of an investor who has invested through Coinone Investments Limited and is now unable to withdraw the funds they invested.

   Tags

   Suspected scam, Investor warning, Consumer, Scams

   Type

   Page

10. 11 April 2024

    Financial adviser

    To use the term Financial Adviser from the start of the new financial advice regime, you must be registered on the Financial Service Providers Register (FSPR) and engaged by a licensed financial advice provider (FAP) (or authorised body).　
    Find out more about licensing, your ongoing obligations and duties and complying with the new Code of Professional Conduct; liabilities and enforcement and frequently asked questions on this page.

    Tags

    New Financial Advice regime, Compliance, Financial Adviser, FSPR, Obligations, Licensing & registration, Roles, Business

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11. 11 April 2024

    Consultation: Proposed exemptions for advice on UK law aspects of defined benefit pension transfers

    Have your say on proposed exemptions for UK firms giving financial advice to New Zealand clients on UK pension transfers. Submissions close 13 June 2024.

    Tags

    Consultations, Roles, Supervisors, Business, Managed investment schemes

    Type

    Page

12. 9 April 2024

    Sirk Investments Limited – Imposter website, suspected scam

    The FMA is concerned that Sirk Investments Limited may be operating an ongoing scam. Its website is linked to an earlier warning issued about an imposter of J Rothschild.

    Tags

    Imposter website, Investor warning, Consumer, Scams

    Type

    Page

13. 9 April 2024

    Financial Markets Conduct (Climate-related Disclosures for Foreign Listed Issuers) Exemption Notice 2024

    An exemption has been granted to provide relief for certain overseas entities with a secondary listing on a financial product market operated by NZX Limited from climate reporting, assurance, and record-keeping duties under Part 7A of the Financial Markets Conduct Act 2013 (the Act).

    Tags

    Exemptions, Climate Reporting Entities, Business

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14. 8 April 2024

    Peer-to-peer lending service providers

    Peer-to-peer lending is a type of financial market service covered by the FMC Act. Find out more about becoming a peer-to-peer lending service provider, the licensing and registration and compliance obligations along with exemptions available in New Zealand.

    Tags

    Compliance, Obligations, Licensing & registration, FMC Act, Exemptions, Roles, Legislation, Business, Peer-to-peer lending service providers

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15. 8 April 2024

    FMA introduces new standard condition on business continuity and technology systems plus new process for reporting operational incidents

    The FMA is introducing a new standard condition for certain market licence holders following consultation. The new licence condition will focus on business continuity and technology systems. The new condition will come into effect on 1 July 2024.

    Tags

    Media release, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Standard conditions, Roles, Licensing & registration, Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers

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