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  1. 14 August 2017

    Forextfl

    There is no connection between the website www.forextfl.com and Tessera Financial Limited, a New Zealand registered financial service provider, nor are the activities of the website subject to regulation in New Zealand.
    Tags
    Unregistered business, Investor warning, Consumer, Scams
    Type
    Page

  2. 14 August 2017

    Mrtmarkets

    MrtMarkets, 10Broker, KHO TECH Ltd, AF Technologies and Nostro Technology OU are not registered to provide financial services in New Zealand
    Tags
    Unregistered business, Investor warning, Consumer, Scams
    Type
    Page

  4. 7 August 2017

    Update for Forestlands investors 07/08/17

    The Overseas Investment Office has recently published the sale price received by Forestlands as $23,500,000. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  5. 7 August 2017

    Consultation paper: Proposed exemption from the market index requirement

    Consultation paper: Proposed exemption from the market index requirement. he exemption applies to the manager of a fund that invests, in whole or in part, in assets that do not have an appropriate market index. Read more.
    Tags
    Consultations, Roles, Business, Market operator
    Type
    Page

  6. 4 August 2017

    Consultation Paper Market Index

    This consultation is for MIS managers, advisers, supervisors,
    and investors. It seeks feedback on a proposed exemption from the market index requirement.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF

  7. 1 August 2017

    Vhtrade International Financial Group

    Vhtrade International Financial Group claims to be registered on the FSPR when they are not.
    Tags
    International regulator alerts, Scams
    Type
    Page

  8. 1 August 2017

    FMA Annual Corporate Plan 2018

    This Annual Corporate Plan sets out our activities for the period that will promote our strategic priorities, address regulatory risks and harms, and deliver sector outcomes.
    Tags
    Reports and Papers, FMA, News & Insights
    Type
    PDF, Annual corporate plan, Corporate publications

  9. 1 August 2017

    Offering financial products in New Zealand and Australia under mutual recognition (MRSO)

    Offering financial products in New Zealand and Australia under mutual recognition (MRSO) guide is for New Zealand and Australian issuers offering financial products or interests in managed or collective investment schemes in both countries.
    Tags
    Offer information, Offer disclosure for equity and debt offers, Roles, Offers of financial products, Managed Investment Schemes, Business
    Type
    Page, Guidance

  10. 31 July 2017

    Mark Warminger

    The FMA has issued civil proceedings seeking pecuniary penalties against Mr Warminger for trading carried out between January and August 2014. The FMA alleges that MR Warminger’s conduct amounted to market manipulation in breach of s11B of the Securities Markets Act 1988.
    Tags
    Enforcement
    Type
    Page

  11. 31 July 2017

    Judgment confirmed in the FMA v Warminger as appeals withdrawn

    Mr Mark Warminger has withdrawn his appeal against the High Court judgment in the Financial Markets Authority v Warminger and as a result the FMA has withdrawn its cross-appeal.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  12. 31 July 2017

    Offering securities in New Zealand and Australia under mutual recognition

    The Offering securities in New Zealand and Australia under mutual recognition guide explains what issuers have to do under the trans-Tasman mutual recognition scheme when making financial product offers in Australia and New Zealand.
    Tags
    Offer information, Managed Investment Schemes, Supervisors, Business
    Type
    Page, Guidance

  13. 31 July 2017

    Offering securities in New Zealand and Australia under mutual recognition

    The Offering securities in New Zealand and Australia under mutual recognition guide explains what issuers have to do under the trans-Tasman mutual recognition scheme when making financial product offers in Australia and New Zealand.
    Tags
    Offer information, Managed Investment Schemes, Supervisors, Business
    Type
    Page, Guidance