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  1. 12 November 2019

    McKenzie International Investments

    The FMA recommends exercising caution before dealing with McKenzie International Investments and the website https://mckenzieinternationalinvestments.com/. We believe McKenzie International Investments has the hallmarks of a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  2. 12 November 2019

    GC Group Limited

    The FMA is concerned GCG’s website contains misleading statements that have the potential to mislead investors on the extent to which GCG is a regulated or licensed entity in New Zealand and in overseas jurisdictions.
    Tags
    Unregistered business, Investor warning, Consumer, Scams
    Type
    Page

  4. 7 November 2019

    FMA apologises for privacy breach

    The FMA today apologised for a privacy breach that meant complaints documents sent to the regulator between 2015 and 2017 were potentially accessible via internet searches.
    Tags
    Media release, FMA, News & Insights
    Type
    Page

  6. 6 November 2019

    Class legislative notice summary 2019

    This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted as at 30 October 2019. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  8. 5 November 2019

    alltrademarkets

    Alltrademarkets is not registered on the Financial Service Provider Registry of New Zealand, therefore, is not permitted to offer financial services to New Zealand residents.
    Tags
    Fake regulator, Suspected scam, Scams
    Type
    Page

  9. 5 November 2019

    EvisionFX Group

    We are concerned that New Zealand investors could be targeted by EvisionFX Group under the misrepresentation that they are regulated in NZ when they are not.
    Tags
    Unregistered business, Investor warning, Consumer, Scams
    Type
    Page

  11. 5 November 2019

    Declaration Fit and Proper - Audit /Management Partner

    This statutory declaration should be completed by Audit firms managing partner/s and should be submitted to the FMA when you apply for a licence to operate.
    Tags
    Auditors, Roles, Business
    Type
    PDF, Declaration form

  12. 5 November 2019

    Declaration Fit and Proper - Audit firms

    To comply with section 26(1)(d) of the Act the Firm must meet the minimum standards for audit firms set out in Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012 (‘the prescribed minimum standards’) prescribed by FMA pursuant to section 32 (1) (g) of the Act. Clause 8(1)(c) of the prescribed minimum standards requires that all of the Firm’s partners must be fit and proper persons as assessed by FMA.
    This declaration provides evidence of the steps taken by the firm and the partner who signs this declaration to identify any relevant information and confirms the correctness and completeness of information provided.
    Tags
    Auditors, Licensing & registration, Roles, Business
    Type
    PDF, Declaration form

  13. 5 November 2019

    Declaration - Supervisors licence TRU2.1

    This is a supporting information checklist and statutory declaration for licensing under section 16 of the Financial Markets Supervisors Act 201l.
    Tags
    Roles, Business, Supervisor
    Type
    PDF, Declaration form

  14. 4 November 2019

    Peter James WANNAN

    Peter James WANNAN, FSP91022, is an AML reporting entity supervised by the FMA.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  15. 4 November 2019

    FMA successfully defends FSPR appeal by FXBTG Financial Limited

    The Financial Markets Authority (FMA) has welcomed a High Court ruling upholding a direction by the FMA to de-register foreign exchange firm FXBTG Financial Limited.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page