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  1. 1 August 2019

    FMA suspends AxiCorp derivatives licence

    The Financial Markets Authority (FMA) has suspended the derivatives issuer licence of AxiCorp Financial Services Pty Limited (trading as AxiTrader) for material breaches of the Financial Markets Conduct Act 2013. Read more.
    Tags
    Media release, News & Insights
    Type
    Page

  2. 1 August 2019

    Interest rate swap investigation - OIA request

    OIA response, dated 1 August 2019, which looked at the investigation by the FMA in 2012-2013 into banks marketing, promoting and selling interest rate swaps between 2005 and 2009. As well as complaints surrounding interest rate swap and the final settlement number with the banks.
    Tags
    FMA
    Type
    PDF, OIA

  6. 30 July 2019

    Payments to social media influencers - OIA request

    OIA response, dated 30 July 2019, where costs were queried in relation to three public awareness campaigns in which social media influencers received payment for posts.
    Tags
    FMA
    Type
    PDF, OIA

  7. 29 July 2019

    Girard Montague

    We recommend exercising caution before dealing with Girard Montague, Richard Sinclair, Richard Tan and the website https:ljwww.girard- montague.com as Girard Montague is not listed on the FSPR and is not an incorporated company in New Zealand.
    Tags
    Suspected scam, Scams
    Type
    Page

  8. 29 July 2019

    SeaGold Invest, Pallet Coins and Pallets Invest

    We are concerned that seagoldinvest.com, palletscoins.com and palletinvest.com may be operating a scam. The websites listed above are not associated with nor authorized by the New Zealand registered company 'The Pallet Company Limited'.
    Tags
    Suspected scam, Scams
    Type
    Page

  10. 26 July 2019

    New Zealand launches ‘investment passport’

    Kiwi investors and managed funds will now be able to do business more easily with Australia, Japan and Thailand, after New Zealand’s implementation of the Asia Region Funds Passport (ARFP).
    Tags
    Media release, News & Insights
    Type
    Page

  11. 26 July 2019

    Guidance for foreign passport fund operators

    This guide is for foreign passport fund operators wanting to offer interests in regulated collective investment schemes (CIS) in New Zealand under the Asia Region Funds Passport regime.
    Tags
    Managed funds, FMC Act, Ways to invest, Investing, Legislation, Business, Consumer
    Type
    PDF, Guidance

  13. 26 July 2019

    AML/CFT customer due diligence: clubs and societies

    The AML/CFT customer due diligence: clubs and societies provides guidance for clubs and societies. The type of entity the club or society is will determine the customer due diligence (CDD) that is undertaken.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  14. 26 July 2019

    AML/CFT customer due diligence: co-operatives

    A co-operative is a form of business organisation that is owned and controlled by its shareholders or members, and run for their mutual benefit. The AML/CFT customer due diligence: co-operatives fact sheet may be useful when considering customers who are mutual organisations or friendly societies.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  15. 25 July 2019

    Rutherford Rede Limited

    Rutherford Rede Limited, FSP174024, is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page