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  1. 19 May 2015

    FMA removes offshore firms from the Financial Services Provider Register – warnings issued against companies who fail to respond

    The Financial Markets Authority (FMA) has confirmed that a number of offshore firms have recently been removed from the Financial Services Provider Register (FSPR). While the Registrar of Companies maintains the FSPR, the FMA has powers to direct the Registrar to remove companies from the FSPR where it is likely that a company is giving a false or misleading impression about the extent to which it is regulated in New Zealand.
    Tags
    Media release, Formal warning, Powers, News & Insights, Enforcement
    Type
    Page

  2. 11 May 2015

    Zagga Limited

    Zagga Limited (previously Lendme Limited), FSP393946, is licensed to provide peer-to-peer lending service.
    Tags
    Peer-to-peer lending service providers, Licensed entity, Roles, Business
    Type
    Page

  3. 8 May 2015

    Booster Investment Management Limited

    Booster Investment Management Limited, FSP28142, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  5. 5 May 2015

    Small DIMS providers benefit from reduced reporting requirements

    The Financial Markets Authority (FMA) has provided smaller businesses that offer a Discretionary Investment Management Service (DIMS) relief from some financial reporting requirements.
    Tags
    Discretionary investment management scheme (DIMS), Media release, Roles, Business, News & Insights
    Type
    Page

  7. 1 May 2015

    Securities Act (NZX Limited)

    Securities Act (NZX Limited) expired exemption notice
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  8. 1 May 2015

    Forex Trend Limited

    Forex Trend Limited is currently unable to meet its obligations to customers and intends to appoint a liquidator.
    Tags
    Suspected scam, Scams
    Type
    Page

  9. 1 May 2015

    Grandegoldens Pty Limited

    Grandegoldens continues to solicit client money through its website despite its recent deregistration and has false and misleading aspects of its website.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  10. 1 May 2015

    CTM Group Limited (CTM)

    Complaints from overseas-based customers of CTM about CTM’s failure to repay clients in accordance with their instructions.
    Tags
    Unregistered business, Investor warning, Consumer, Scams
    Type
    Page

  11. 1 May 2015

    New requirements for lawyers offering contributory mortgages

    Since 1 July 2014, all lawyers and incorporated law firms operating under the Exemption Notice have been required to register as a financial service provider on the financial service providers register. Read more in the New requirements for lawyers offering contributory mortgages information sheet.
    Tags
    Offer information, Business
    Type
    Page, Guidance

  12. 1 May 2015

    Capital One Forex Limited

    Capital One continues to solicit client money through its website despite failing to respond to a request for information.
    Tags
    Suspected scam, Scams
    Type
    Page

  13. 30 April 2015

    SPI directors fined for breaching financial reporting rules

    The two directors of SPI Property Fund Limited have today been fined $25,312 each for breaches of the Financial Reporting Act in the Auckland District Court. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  14. 30 April 2015

    First Mortgage Managers Limited

    First Mortgage Managers Limited, FSP31642, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page