Back

Search results

Found 6608 results. Displaying page 165 of 441

  1. 13 July 2022

    Warning regarding unregistered business offering fake pre-IPO shares

    WARNING: The FMA is concerned that Enbridge International Consulting Limited (Enbridge) may be operating a scam via enbridgeconsulting.com (the website). We have received a report from a New Zealand resident about being cold called by Enbridge offering pre-IPO (Initial Public Offering) shares and unable to recover money paid to them.
    Tags
    Suspected scam, Scams
    Type
    Page

  2. 12 July 2022

    Self assessment tool complaints handling

    Use this self-assessment tool to see if you’re ready to complete the complaints handling section of your Class 1 or Class 2 FAP full licence application. It should help you identify areas of strength or weakness in your full licence preparation so you can seek further help or advice and address any gaps before you apply.
    Tags
    Authorised body under a FAP, Financial Advice Provider, Roles, Business
    Type
    PDF

  3. 11 July 2022

    Scam warning: Apex Equity Advisors

    Apex Equity Advisors is not a registered New Zealand company and is not registered to provide financial products or services to New Zealand residents. We recommend caution when dealing with this entity.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  4. 11 July 2022

    Spotlight on: Compound interest

    When an investment earns interest, this may be added to the overall sum, resulting in compound interest – essentially earning interest on interest. Read about the compounding effect, and how powerful it can be over the long term.
    Tags
    Investment basics, Managed funds, Investing, Ways to invest, Cash investments, Article, Consumer, News & Insights
    Type
    Page

  5. 11 July 2022

    Approach to oversight of financial statements

    In this document we provide a summary of our main work in monitoring compliance with financial reporting obligations by FMC reporting entities and registered schemes (regulated entities) from 2022-2025.
    Tags
    Auditors, Directors, Roles, Business
    Type
    PDF, Financial reporting

  6. 11 July 2022

    Class legislative notice summary 2022

    This is a summary of the Financial Markets Conduct Act class legislative notices we have granted as
    at 1 June 2022. It includes exemptions, designations, frameworks or methodologies, and public
    accountability notices.
    Tags
    Designations, FMC Act, Exemptions, Legislation, Business
    Type
    PDF

  7. 8 July 2022

    Suspected scam alert: avistechlimited.com

    FMA is concerned that avistechlimited.com is involved in a scam as it claims to offer online trading and cryptocurrency investment services, with unrealistically high returns.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  8. 8 July 2022

    FMA appoints Margot Gatland to Head of Enforcement

    FMA has confirmed the appointment of Margot Gatland as its new Head of Enforcement. Ms Gatland was previously the Acting Head of Enforcement at the FMA.
    Tags
    FMA executive team, FMA people, FMA
    Type
    Page

  9. 8 July 2022

    Investor warning: NorthWest Options Exchange

    NorthWest Options Exchange, through their website nwoex.com 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. 8 July 2022

    GSF Asia Pacific offering fake pre-IPO shares

    GSF is not a registered company or a financial service provider in New Zealand. We recommend exercising caution when dealing with them.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  11. 8 July 2022

    '5 mins with the FMA' podcast #1: Cyber resilience

    In this FMA podcast, James Greig discusses the “Cyber Security & Operational Systems Resilience” information sheet.
    Tags
    Directors, Discretionary investment management scheme (DIMS), Financial Adviser, Banking, Insurance, Roles, Business, Consumer, Managed investment schemes, Market operator, News & Insights, Peer-to-peer lending service providers
    Type
    Page, Podcast

  12. 8 July 2022

    Approach to oversight of financial statements

    In this document we provide a summary of our main work in monitoring compliance with financial reporting obligations by FMC reporting entities and registered schemes (regulated entities) from 2022-2025.
    Tags
    Auditors, Directors, Roles, Climate related disclosure, Climate Reporting Entities, Business
    Type
    Page, Financial reporting, Guidance

  13. 5 July 2022

    FMA DIMS SC2 consultation feedback form

    Feedback form for consultation paper: Proposed variation to Standard Condition 2 of Standard Conditions for DIMS licences – Incidental financial advice
    Tags
    Consultations, Business
    Type
    Word document, Feedback form

  15. 5 July 2022

    FMA consultation on Code Standard 3 Guidance

    Consultation paper: Proposed guidance on reasonable grounds for financial advice about IPOs and listed equity securities
    Tags
    Consultations, Business
    Type
    PDF, Consultation