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  2. 12 April 2024

    Multi Global Leaders – Suspected scam

    We recommend caution when dealing with Multi Global Leaders and its website www.MultiGlobalLeaders.com.

    Tags
    Suspected scam, Investor warning, Consumer, Scams
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  9. 11 April 2024

    Financial adviser

    To use the term Financial Adviser from the start of the new financial advice regime, you must be registered on the Financial Service Providers Register (FSPR) and engaged by a licensed financial advice provider (FAP) (or authorised body).　
    Find out more about licensing, your ongoing obligations and duties and complying with the new Code of Professional Conduct; liabilities and enforcement and frequently asked questions on this page.
    Tags
    New Financial Advice regime, Compliance, Financial Adviser, FSPR, Obligations, Licensing & registration, Roles, Business
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  10. 11 April 2024

    Financial Institutions

    A financial institution is a registered bank, licensed insurer, or licensed non-bank deposit taker (NBDT) that is in the business of providing one or more relevant services. View more about the licensing of Financial Institutions on this page.
    Tags
    Financial Institutions, Banking, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Managed Investment Schemes, Roles, Business, Managed investment schemes
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  11. 10 April 2024

    Climate Reporting Entities (CREs)

    The New Zealand government has introduced a new regime making climate-related disclosures mandatory for some organisations. Organisations covered (known as Climate Related Entities or CREs) will have to make annual disclosures covering governance arrangements, risk management, strategies and metrics and targets for mitigating and adapting to climate change impacts. The requirement applies to the larger publicly listed companies, big insurers, banks, non-bank deposit takers and investment managers. Read more on the FMA website.
    Tags
    Climate related disclosure, Climate Reporting Entities, Business
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  13. 9 April 2024

    Sirk Investments Limited – Imposter website, suspected scam

    The FMA is concerned that Sirk Investments Limited may be operating an ongoing scam. Its website is linked to an earlier warning issued about an imposter of J Rothschild.
    Tags
    Imposter website, Investor warning, Consumer, Scams
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  14. 8 April 2024

    Managed investment scheme manager

    A Managed Investment Scheme (MIS) pools money from a number of investors who rely on the investment expertise of the MIS manager. These schemes can be structured in different ways and may invest in a wide range of investments. On this page you will find the licensing and registration and compliance obligations of a MIS manager. You will also find a list of KiwiSaver exempt employers.
    Tags
    Compliance, Obligations, Licensing & registration, Roles, Business, Managed investment schemes
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  15. 8 April 2024

    Peer-to-peer lending service providers

    Peer-to-peer lending is a type of financial market service covered by the FMC Act. Find out more about becoming a peer-to-peer lending service provider, the licensing and registration and compliance obligations along with exemptions available in New Zealand.
    Tags
    Compliance, Obligations, Licensing & registration, FMC Act, Exemptions, Roles, Legislation, Business, Peer-to-peer lending service providers
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