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  1. 14 May 2021

    New default KiwiSaver settings designed to benefit members

    The Financial Markets Authority - Te Mana Tātai Hokohoko (FMA) notes the Government’s announcement today regarding new KiwiSaver default provider arrangements, these include new settings that offer a package of benefits for default KiwiSaver members.
    Tags
    Media release, KiwiSaver providers, Roles, Business, Consumer, Managed investment schemes, News & Insights, Supervisor
    Type
    Page

  2. 12 May 2021

    Myfiduciary (CNI) Ltd

    Myfiduciary (CNI) Ltd is a icenced DIMS provider. They were previously known as.Taupō Moana Investments Limited (FSP623349).
    Tags
    Discretionary investment management scheme (DIMS), Roles, Reporting entities, Business
    Type
    Page

  3. 11 May 2021

    PTT Limited, Steven Robertson and related parties

    Four companies were placed in liquidation over breach of financial markets legislation and case filed under Crimes act against Steven Robertson with the trial due in May 2019.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  4. 11 May 2021

    Supreme Court rejects sentence appeal by PTT’s Steven Robertson

    The Financial Markets Authority - Te Mana Tātai Hokohoko (FMA) has welcomed the Supreme Court’s decision to dismiss a sentence appeal by Steven Robertson of PTT Limited, bringing the matter to a close.
    Tags
    Media release, Consumer, News & Insights, Enforcement, Scams
    Type
    Page

  5. 10 May 2021

    Brunner and Avon Capital

    Brunner and Avon Capital including: Brunner Capital Limited, and Avon Capital Limited
    Tags
    AML/CFT, Roles, Business
    Type
    Page

  6. 10 May 2021

    Steven Robertson - Appeal Judgment

    Supreme Court Judgment in the application of appeal by Steven Robertson, 10 May 2021.
    Tags
    Court decision, Enforcement
    Type
    PDF

  7. 7 May 2021

    Walton Chase

    The FMA has issued a warning concerning Walton Chase who may be operating a scam and is not registered to provide financial services in New Zealand.
    Tags
    Suspected scam, International regulator alerts, Scams
    Type
    Page

  8. 6 May 2021

    equitycorp.org

    We are concerned the operators of the website www.equitycorp.org may be operating a scam.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  9. 6 May 2021

    TopMarketCap

    We are concerned that TopMarketCap does not hold a Derivative Issuer License and is not a registered financial service provider in New Zealand or licensed by the FMA.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  10. 6 May 2021

    New law reforms the regulation of financial market infrastructures (FMIs)

    New laws to regulate and supervise payment and settlement systems have been passed by Parliament following the third reading of the Financial Market Infrastructures Bill (the Bill) yesterday. Under the Bill the Reserve Bank of New Zealand – Te Pūtea Matua (the Reserve Bank) and the Financial Markets Authority – Te Mana Tātai Hokohoko (FMA) will be joint regulators of most FMIs, including central securities depositories, securities settlement systems, central counterparties, and trade repositories. The Reserve Bank will be the sole regulator of payments systems under the new regime.
    Tags
    Regulation, Regulation updates, Media release, Business, FMA, News & Insights
    Type
    Page

  11. 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

  13. 30 April 2021

    CoFR Consumer Vulnerability Framework April 2021

    Members of the Council of Financial Regulators (CoFR)1 have agreed on a common understanding of the characteristics of a vulnerable consumer. We are presenting this as a framework to help industry in developing their own approaches to assisting vulnerable consumers. This framework is non-binding and serves as a guideline only. We
    would anticipate firms to consult widely in developing their own terminology, procedures, and processes for assisting vulnerable consumers. These should focus on the evolving needs of the consumers they serve, should be appropriate for their business and in accordance with any specific
    legislative requirements.
    Tags
    Financial Advice Provider, Banking, Regulation, Roles, Council of financial regulators (CoFR), Business, FMA
    Type
    PDF

  14. 30 April 2021

    OIA KiwiSaver FUM Funds

    Kiwisaver FUM forecasts/projections OIA response, dated 30 April 2021
    Tags
    Type
    PDF, OIA