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  1. 12 April 2018

    Hakopa, Williams and Partners

    Hakopa, Williams and Partners is not a registered New Zealand Company and is not registered to provide financial services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  2. 11 April 2018

    Redfield Markets Limited

    Plus Option (trading name) is not registered to provide financial services in New Zealand.
    Tags
    International regulator alerts, Scams
    Type
    Page

  3. 10 April 2018

    Product disclosure statements: understanding investors’ information needs

    The purpose of this report is to help issuers and their advisers think about how they can make disclosure information more useful for investors.
    Tags
    Offer disclosure for equity and debt offers, Disclose register, Roles, Cryptocurrencies, Directors, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer information, Reports and Papers, Business, Managed investment schemes, News & Insights
    Type
    Page

  4. 10 April 2018

    Product disclosure statements: understanding investors’ information needs

    The purpose of this report is to help issuers and their advisers think about how they can make disclosure information more useful for investors. In the report we summarise feedback from investors about how they use disclosure information.
    Tags
    Reports and Papers, News & Insights
    Type
    PDF

  6. 6 April 2018

    Financial Markets Conduct (Incidental Offers) Exemption Amendment Notice 2018

    Financial Markets Conduct (Incidental Offers) Exemption Amendment Notice 2018, which comes into force on the day after the date of its notification in the Gazette, amends the Financial Markets Conduct (Incidental Offers) Exemption Notice 2016 (the 2016 notice).Expired.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  7. 5 April 2018

    Markets Trading Ltd

    The Financial Conduct Authority (FCA), in the UK, issued a warning that Markets Trading Ltd is not authorised by the FCA and they believe it is carrying on regulated activities which require authorisation.
    Tags
    International regulator alerts, Scams
    Type
    Page

  10. 1 April 2018

    Effective disclosure

    Effective disclosure guidance note was originally released in June 2012 and updated in 2014 to incorporate changes of the FMC Act. It is now no longer relevant.
    Tags
    Offer information, Business
    Type
    Page, Guidance

  14. 27 March 2018

    KiwiSaver fees to be shown in dollar figures for first time

    KiwiSaver customers are about to see the fees they pay their fund managers in dollar figures for the first time, and could be in for a shock.
    Tags
    KiwiSaver providers, KiwiSaver & Superannuation, Media release, Roles, Business, Consumer, Managed investment schemes, News & Insights
    Type
    Page

  15. 22 March 2018

    FMA publishes review of adviser conduct in life insurance

    The FMA has issued warnings to four registered financial advisers in relation to providing advice on replacement insurance policies, for breaches of the obligation in section 33 of the Financial Advisers Act 2008 to exercise care, diligence and skill.
    Tags
    Media release, Conduct, Business, News & Insights
    Type
    Page