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  1. 1 September 2021

    FAP Licensing Application Guide Class 2 questions

    FAP Licensing Application Guide Class 2 questions: This document contains the questions you will be asked when applying for a Class 2 Financial Advice Provider full licence. It should be read alongside our guide to full licensing.
    Tags
    Financial Advice Provider, Licence guide, Roles, Licensing & registration, Business
    Type
    PDF

  2. 1 September 2021

    Customer vulnerability – our expectations for providers

    Customer vulnerability – our expectations for providers. This information sheet explains the FMA’s expectations for financial services firms to prioritise their customer vulnerability practices, focusing on areas we consider immediate priorities, updated Sept 2021.
    Tags
    Banking, Conduct, Roles, Business, Managed investment schemes
    Type
    PDF, Report

  3. 31 August 2021

    tradinginsiders.eu

    Forex Insiders also known as Forex Insiders Trading, Trading Insiders and Success Factory may be operating a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  4. 31 August 2021

    Delta blues: latest lockdown shows need for customer vulnerability preparedness

    FMA Senior Advisor for Investor Capability talks about customer vulnerability in the face of COVID-19.
    Tags
    COVID-19, Authorised body under a FAP, Crowdfunding providers, Cryptocurrencies, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Financial Adviser, Roles, Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers, Nominated representatives
    Type
    Page

  5. 29 August 2021

    Sharesies Limited and Sharesies Nominee Limited

    The FMA has issued a formal warning to Sharesies for purposes of section 80 of Anti-Money Laundering and Countering
    Financing of Terrorism Act 2009
    We have reasonable grounds to believe that Sharesies have engaged in conduct that constitutes a civil liability act under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009.
    Tags
    AML/CFT, Roles, Formal warning, Powers, Business, Enforcement
    Type
    Page

  6. 27 August 2021

    WIW 2021 Resource pack

    Campaign resource kit for participants in World Investor Week 2021.
    Tags
    Campaigns, Investing, Investor information, Consumer
    Type
    PDF

  7. 27 August 2021

    Connected with a con: Nisha met a scammer on LinkedIn

    Nisha contacted the FMA in May 2021 to report a scam targeting users of popular social media platform Linkedin. She had connected with a woman who convinced her to invest with an entity called Standard Coin Options, which then insisted she pay them ‘tax’ before they would release her ‘profits’
    Tags
    Consumer, Scams
    Type
    Page

  8. 26 August 2021

    NEW ZEALAND FUNDS MANAGEMENT LIMITED

    NEW ZEALAND FUNDS MANAGEMENT LIMITED is licensed to provide DIMS.
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page

  9. 26 August 2021

    RIVAL WEALTH LIMITED

    RIVAL WEALTH LIMITED (FSP30481) is licensed to provide DIMS
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page

  12. 25 August 2021

    Extension of Submission Deadline: Annual AML/CFT Reports 2021

    Annual AML/CFT 2021 reports – deadline extension. Due the current Alert Level 4, reporting entities might not be able to access required information to complete their Annual AML/CFT Report by 31 August 2021. The AML/CFT Supervisors have therefore agreed to change the submission deadline for this year to the 30th of September 2021.
    Tags
    AML/CFT, COVID-19, Roles, Business, News & Insights
    Type
    Page

  13. 24 August 2021

    zesprilimited.com

    There are false claims made on zesprilimited.com that they are connected with a company incorporated in New Zealand – Zespri New Zealand Limited. Zespri New Zealand Limited has confirmed that it does not operate and is not associated with this website.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  14. 24 August 2021

    crowntradeltd.com

    We are concerned that crowntradeltd.com is involved in a scam. There are false claims made on this website that they are connected with a company incorporated in New Zealand – Crown Trade Corporation Limited who has confirmed that they do not operate and are not associated with this website.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page