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  1. 10 September 2019

    TradeLTD

    The FMA recommends exercising caution before dealing with TradeLTD and the website
    www.tracleltd .co m as TradeLTD is not listed on the FSPR and Is not an incorporated company in New Zealand. Individuals from TradeLTD have been contacting New Zealand residents with investment offers and withholding client funds. This has the hallmarks of a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  2. 10 September 2019

    Investor Link Corporation Limited

    Investor Link Corporation Limited, FSP37011, is a reporting entity supervised by the FMA under Anti-Money Laundering and Countering Financing of Terrorism Act 2009.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  3. 9 September 2019

    MARS CAP LIMITED

    Mars Cap Limited, FSP661531, is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  4. 9 September 2019

    Growing New Zealands Capital Markets 2029

    This report provides an overview of the process and key recommendations which we believe will have a higher impact on the New Zealand capital markets ecosystem in the coming decade
    Tags
    Reports and Papers, Market operator, Roles, Business, News & Insights
    Type
    PDF

  5. 9 September 2019

    Christoph Feymann Capital

    We have received complaints about unreasonable withholding of client funds by Christoph Feymann Capital. It is not registered as a financial service provider in New Zealand, therefore, it is not permitted to provide financial services to New Zealand residents.
    Tags
    Unregistered business, Investor warning, Consumer, Scams
    Type
    Page

  6. 9 September 2019

    Opportunity for all Kiwis in Capital Markets 2029 report

    NZX and the Financial Markets Authority (FMA) today welcomed the release of the Capital Markets 2029 report, saying the 10-year vision and growth agenda would create more opportunities for Kiwis to grow personal wealth, help New Zealand businesses to prosper, and help future-proof the country’s economy.
    Tags
    Roles, Media release, Business, News & Insights, Market operator
    Type
    Page

  7. 9 September 2019

    Growing New Zealand’s Capital Markets 2029

    NZX and the Financial Markets Authority (FMA) welcomed the release of the Capital Markets 2029 report, saying the 10-year vision and growth agenda would create more opportunities for Kiwis to grow personal wealth, help New Zealand businesses to prosper, and help future-proof the country’s economy.
    Tags
    Financial market infrastructures, Roles, Reports and Papers, Business, Market operator
    Type
    Page, Report

  8. 4 September 2019

    Coinbrokerz

    We are concerned that Coinbrokerz has the hallmarks of a scam, including withholding clients' funds, requesting clients to transfer additional funds before being able to withdraw investments and requesting funds to be sent tomultiple bank accounts that do not match Coinbrokerz's name.
    Tags
    International regulator alerts, Suspected scam, Scams
    Type
    Page

  9. 4 September 2019

    FMA cancels Barry Kloogh’s financial adviser authorisation

    The Financial Markets Authority (FMA) has cancelled the authorisation of Dunedin-based Mr Barry Edward Kloogh to act as a financial adviser, as a result of concerns regarding compliance with his broker obligations under the Financial Advisers Act 2008.
    Tags
    Financial advice, Compliance, Media release, Business, Consumer, News & Insights, Enforcement
    Type
    Page

  10. 29 August 2019

    www.rncapitalalliance.com

    The FMA recommends taking caution when dealing with www.rncapitalalliance.com as they could be involved in a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  11. 29 August 2019

    Yifu International Futures Co Ltd

    The FMA recommends exercising caution before dealing with Yifu International Futures as It not registered on the New Zealand Financial Service Providers Register nor is it associated with FSP536487.
    Tags
    Suspected scam, International regulator alerts, Scams
    Type
    Page

  12. 28 August 2019

    Eoin Malcolm Miller Johnson

    Eoin Malcolm Miller Johnson, a former director and chairman of NZX-listed Promisia Integrative Limited (PIL), admitted to insider trading conduct and breaching a director’s disclosure obligations.
    Tags
    Insider trading, Court – civil, Powers, Enforcement
    Type
    Page

  13. 28 August 2019

    Former Promisia chairman admits insider trading breaches

    Eoin Malcolm Miller Johnson, a former director and chairman of NZX-listed Promisia Integrative Limited (PIL), has admitted to insider trading conduct and breaching a director’s disclosure obligations. He will pay $75,000, in lieu of a penalty, to the Financial Markets Authority (FMA).
    Tags
    Cases, Insider trading, Media release, News & Insights, Enforcement
    Type
    Page

  14. 28 August 2019

    Impact of behavioural insights on KiwiSaver enrolment communications

    Impact of behavioural insights on KiwiSaver enrolment communications report is for KiwiSaver providers and providers of any Managed Investment Scheme. It will also be of interest to behavioural insight researchers.
    Tags
    Roles, Reports and Papers, KiwiSaver providers, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Report

  15. 28 August 2019

    Impact of behavioural insights on KiwiSaver enrolment communications

    This report is for KiwiSaver providers and
    providers of any Managed Investment Scheme.
    It will also be of interest to behavioural insight researchers.
    Tags
    Reports and Papers, KiwiSaver providers, Roles, Business, Managed investment schemes, News & Insights
    Type
    PDF, Research