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  2. 16 August 2016

    Generate Investment Management Limited

    Generate Investment Management Limited, FSP271005, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  3. 15 August 2016

    FMA legislative notices supporting the FMC Act regime - August 2016

    Read our latest Regulatory update on our legislative notices work to support businesses implementing the FMC Act. This consolidates information to 15 August 2016 to give a picture of our progress and plans.
    Tags
    Regulation updates, Business
    Type
    Page

  5. 15 August 2016

    FMA warns registered financial adviser

    FMA has issued a warning to an individual in relation to suspected misleading or deceptive conduct by a registered financial adviser.
    Tags
    Media release, Financial Adviser, Enforceable Undertaking, Roles, Business, News & Insights, Enforcement
    Type
    Page

  6. 15 August 2016

    Legislative notices supporting the FMC Act regime

    To support businesses implementing the Financial Markets Conduct Act 2013 (FMC Act), the FMA has been working, in consultation with the sector, on various legislative tools such as exemptions, frameworks, methodologies, public accountability notices, and designations (the FMA’s legislative tools).
    We have also been working with the Ministry of Business, Innovation, and Employment (MBIE) on the
    amendments to the Financial Markets Conduct Regulations 2014 (FMC Regulations). These tools and
    regulatory amendments are designed to help businesses and individuals comply with the requirements
    of the FMC Act regime.
    Tags
    Crowdfunding providers, Derivative Issuer, FMC Act, Roles, Legislation, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    PDF, Notice

  7. 12 August 2016

    Paul Steven Bevin

    Paul Steven Bevin, FSP477606, is a licensed Independent Trustee.
    Tags
    Independent trustee, Licensed entity, Roles, Business
    Type
    Page

  8. 11 August 2016

    Baumann Group

    Baumann Group is not registered to provide financial services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  9. 8 August 2016

    Quartz Wealth Management Limited

    Quartz Wealth Management Limited, FSP54701, is licensed to provide Discretionary Investment Management Services (DIMS).
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page

  11. 4 August 2016

    Work to do on corporate governance disclosure, FMA finds

    The FMA has completed a review of corporate governance disclosures by 45 companies, listed and unlisted. Good corporate governance is one of the FMA’s strategic priorities because it is an important contributor to transparency and efficiency in capital markets. In 2014 the FMA published a Corporate Governance Handbook comprising nine corporate governance principles.
    Tags
    Directors, Governance, Reports and Papers, Roles, Media release, Business, FMA, News & Insights
    Type
    Page, Guidance

  12. 4 August 2016

    A review of corporate governance disclosure in New Zealand

    This report presents our review of corporate governance reporting. We are sharing these findings with companies so they can reflect on their governance practices and disclosures.
    Tags
    Directors, Roles, Reports and Papers, Business
    Type
    Page, Paper

  13. 4 August 2016

    Review of corporate goverance disclosure 2016

    This 2016 report presents our review of corporate governance reporting. We are sharing these findings with companies so
    they can reflect on their governance practices and disclosures.
    Tags
    Directors, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF

  14. 2 August 2016

    IntegraOption

    Warnings issued by the Swiss Financial Market Supervisory Authority (FINMA) in relation to IntegraOption.
    Tags
    International regulator alerts, Scams
    Type
    Page

  15. 2 August 2016

    Crowdfunding services for property investments – meeting the eligibility criteria

    Crowdfunding services for property investments – meeting the eligibility criteria, information sheet is designed to help crowdfunding services offering property investment (‘property crowdfunding’) meet the eligibility criteria for a licensed crowdfunding service in New Zealand.
    Tags
    Crowdfunding providers, Roles, Business
    Type
    Page, Guidance