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  1. 14 May 2019

    5 Most Expensive Trials - OIA response

    OIA response, dated 14 May 2019, regarding the FMA’s five most expensive trials, what they involved and a summary of costs
    Tags
    FMA
    Type
    PDF, OIA

  2. 13 May 2019

    10 formal AML/CFT warnings issued by FMA

    The Financial Markets Authority (FMA) has issued formal warnings to 10 reporting entities under Section 80 of the Anti-Money Laundering and Countering Financing of Terrorism Act (AML/CFT Act). Read more.
    Tags
    AML/CFT, Media release, Roles, Formal warning, AML/CFT formal warning, Powers, Business, News & Insights, Enforcement
    Type
    Page

  4. 9 May 2019

    strategicfinancelimited.com

    FMA warns that strategicfinancelimited.com could be involved in a scam and it is not associated with the Strategic Finance Limited registered in New Zealand (NZBN: 9429037630928).
    Tags
    Suspected scam, Scams
    Type
    Page

  5. 7 May 2019

    Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice (No 2) 2019

    The principal notice permits entities listed in Schedule 1 of the notice to provide personalised services to retail clients where those services are provided through a digital advice facility. This notice amends the principal notice to add Sharesies Limited (Sharesies) to that list of entities. Read more.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  6. 7 May 2019

    Code of Professional Conduct for Financial Advice Services

    The Code of Professional Conduct for Financial Advice Services is prepared in accordance with Part 4 of Schedule 5 of the Financial Markets Conduct Act 2013 (the FMC Act). The Code supports the purposes of the FMC Act including promoting the confident and informed participation of businesses, investors, and consumers in the financial markets, avoiding unnecessary compliance costs, and ensuring the availability and quality of financial advice.
    Tags
    Financial Advice Provider, Conduct, Roles, Business
    Type
    Page, Guidance

  7. 3 May 2019

    Company convicted for abuse of the FSPR

    Morgan DeVere Corporate Finance Limited (Morgan DeVere) has been convicted at the Wellington District Court on two counts of breaching the Financial Services Providers Act 2008 (FSP Act) for falsely claiming it was registered on the Financial Services Providers Register (FSPR). A copy of the judgment can be found here. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  8. 2 May 2019

    PMG Property Funds Management Limited

    PMG Property Funds Management Limited, FSP117931, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  9. 2 May 2019

    GG Binary.com

    FMA recommends exercising caution before dealing with the website www.ggbinary.com. Read more.
    Tags
    International regulator alerts, Scams
    Type
    Page

  10. 1 May 2019

    Audit Quality Perceptions Research report 2019

    The overall aim of this research is to inform FMA of public and industry perceptions of the audit quality in NZ and enable them to target work to increase understanding of the auditor’s role, strengthen perceived value of that role, along with knowledge of the FMA’s role of oversight and regulationof auditors.
    Tags
    Monitoring, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  11. 1 May 2019

    Financial reporting reviews 2019

    This statement outlines our approach to financial reporting reviews, and highlights selected areas of interest for 2019/20 reviews.
    Tags
    Reports and Papers, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Roles, Business, News & Insights, Peer-to-peer lending service providers
    Type
    PDF, Financial reporting