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  2. 22 October 2022

    iPartners DBG

    iPartners Designated Business Group
    Tags
    Roles, Business, Designated Business Group (DBG)
    Type
    Page

  6. 20 October 2022

    How to cancel your FMC Act licence

    How to cancel an FMCA Licence.
    Tags
    Crowdfunding providers, Derivative Issuer, Financial Advice Provider, Independent trustee, Licensing & registration, Roles, Business, Peer-to-peer lending service providers
    Type
    PDF

  9. 20 October 2022

    Spotlight on: Wholesale investing

    Spotlight on wholesale investment offers aimed at experienced investors, often with large sums of money to invest.
    Tags
    Wholesale investing, Ways to invest, Investing, Article, Consumer, News & Insights
    Type
    Page

  10. 20 October 2022

    Key terms under the CoFI regime

    The Financial Markets (Conduct of Institutions) Amendment Act 2022 has introduced some key terms to describe the framework for regulating the conduct of financial institutions in New Zealand – also known as the CoFI regime. This page lists some of the key terms and their definitions.
    Tags
    Conduct of Financial Institutions Bill (CoFI), Banking, Conduct, Insurance Providers, Financial Institutions, Ways to invest, Investing, Managed Investment Schemes, Roles, Business, Consumer, Managed investment schemes
    Type
    Page

  11. 20 October 2022

    Thematic review of use of the wholesale investor exclusion

    Findings from the FMA’s thematic review of wholesale offers of financial products, along with guidance for offerors and those who provide confirmation for eligible investor certificates. Published 20 October 2022.
    Tags
    Offer disclosure for equity and debt offers, Reports and Papers, Offers of financial products, Roles, Business, News & Insights
    Type
    PDF

  13. 20 October 2022

    Black Robin Equity Limited and Westwood Terraces BRE Limited - Formal Warning

    The FMA has issued a formal warning to Black Robin Equity Limited and Westwood Terraces BRE Limited following concerns that they may have failed to give disclosures to investors as required by Part 3 of the Financial Markets Conduct Act 2013 because they relied on the wholesale investor exclusion in circumstances where they were not entitled to. This is because some eligible investor certificates were incomplete.
    Tags
    Offer disclosure for equity and debt offers, Roles, Business, Enforcement
    Type
    PDF

  14. 20 October 2022

    Du Val Capital Partners Limited and Du Val BTR GP Limited - Formal Warning

    The FMA has issued a formal warning to Du Val Capital Partners Limited and Du Val BTR GP Limited following concerns that they may have failed to give disclosures to investors as required by Part 3 of the Financial Markets Conduct Act 2013 because they relied on the wholesale investor exclusion in circumstances where they were not entitled to. This is because some eligible investor certificates were incomplete.
    Tags
    Offer disclosure for equity and debt offers, Roles, Business, Enforcement
    Type
    PDF

  15. 20 October 2022

    Provincia Property Fund Limited - Formal Warning

    The FMA issued a formal warning to Provincia Property Fund Limited following concerns that they may have failed to give disclosures to investors as required by Part 3 of the Financial Markets Conduct Act 2013 because it relied on the wholesale investor exclusion in circumstances where they were not entitled to.
    Tags
    Offer disclosure for equity and debt offers, Roles, Business, Enforcement
    Type
    PDF