Back

Search results

Found 6602 results. Displaying page 289 of 441

  1. 18 May 2018

    Anahera and Partners

    Anahera and Partners is not a registered New Zealand Company and is not registered to provide financial services in New Zealand.
    Tags
    Fake regulator, Suspected scam, Scams
    Type
    Page

  2. 17 May 2018

    CBL Update

    The FMA intends to file a case stated procedure to seek the court’s determination on whether continuous disclosure obligations for listed issuers continue to apply when the issuer is in voluntary administration. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  3. 16 May 2018

    Insurers spend $34 million on soft commissions

    FMA report details how nine life and health insurance companies spent $34 million on non-financial incentives like trips, business support and conferences for financial advisers over a two-year period.
    Tags
    Insurance, Media release, Consumer, News & Insights
    Type
    Page

  4. 16 May 2018

    Conflicted remuneration (soft commissions) in the life and health insurance industry

    This review examines the soft commission structures in place for life and health insurance products and how advisers respond to these incentives. This work forms part of a range of regulatory activities examining conflicted conduct in the insurance sector.
    Tags
    Financial Advice Provider, Conduct, Roles, Business
    Type
    PDF, Report

  6. 15 May 2018

    Rostones

    Rostones is not a New Zealand registered company and is not associated with, nor an authorised representative of, Rostones Group Limited.
    Tags
    Unregistered business, Investor warning, Consumer, Scams
    Type
    Page

  7. 15 May 2018

    Second company and director charged over FSPR abuse

    Second company and director charged over FSPR abuse. The company is charged with two counts of breaching section 12 of the FSP Act.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  8. 15 May 2018

    FMA releases fourth AFA information report

    FMA published statistical report on Authorised Financial Advisers (AFAs) in New Zealand for 2017. The FMA requires AFAs to submit an annual information return each year.
    Tags
    Financial Advice Provider, Media release, Roles, Business, News & Insights
    Type
    Page

  9. 15 May 2018

    Improving financial information in an equity PDS

    Improving financial information in an equity PDS guidance is to assist issuers and their professional advisers in understanding the FMA’s expectations on certain aspects of the financial information section.
    Tags
    Offer information, Offer disclosure for equity and debt offers, Roles, Business
    Type
    Page, Guidance

  10. 15 May 2018

    Improving financial information in an Equity PDS - guidance

    This guidance is to assist issuers and their professional advisers in understanding the FMA’s expectations on certain aspects of the financial information section.
    Tags
    Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF, Guidance

  11. 14 May 2018

    KiwiSaver trial focused on members in their 50s gets results

    The interim results of a second FMA, MBIE and industry trial has shown targeted communications created using behavioural insights, are more likely to lead KiwiSaver members to make an active decision about their fund.
    Tags
    KiwiSaver providers, Media release, Roles, Business, Managed investment schemes, News & Insights
    Type
    Page

  13. 14 May 2018

    AML/CFT risk assessment guideline

    The AML/CFT risk assessment guideline was updated in 2018 and is designed to help reporting entities conduct a risk assessment, as required under section 58 of the Anti-Money Laundering and Countering Financing of Terrorism Act.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  14. 14 May 2018

    AML/CFT programme guideline

    The AML/CFT programme guideline was updated in 2018 and is designed to help reporting entities develop their AML/CFT programme.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance