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  1. 25 October 2019

    AML/CFT - interpretation of a trust as a customer

    The following is a response made by the AML/CFT supervisors to a query questioning whether a trust can be a customer for the Act’s purposes. This clarification is supplemental to the Trusts Fact Sheet:
    Tags
    AML/CFT, Roles, Business
    Type
    PDF, Fact sheet

  2. 23 October 2019

    JMI Wealth Limited

    JMI Wealth Limited, FSP93061, previously known as JMIS limited is an AML reporting entity supervised by the FMA.
    Tags
    Type
    Page

  3. 23 October 2019

    Financial Markets Conduct (Masthead Joint Venture) Exemption Notice 2019

    This notice, which comes into force on 22 October 2019 and is revoked on the close of 21 October 2024, exempts certain trustees of trusts that together either control, or have a potential future interest in, the Masthead Joint Venture from regulation 139 of the Financial Markets Conduct Regulations 2014 to the extent that the regulation requires event disclosures given by those trustees to have attached a full copy of the joint venture agreement that constitutes the Masthead Joint Venture.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  6. 23 October 2019

    Financial Markets Conduct (Obsidian Contributory Mortgage Scheme) Exemption Notice 2019

    Financial Markets Conduct (Obsidian Contributory Mortgage Scheme) Exemption Notice 2019 comes into force on 22 October 2019 and is revoked on 21 October 2024. This notice exempts Obsidian Group Limited (the Manager) from some provisions of the Financial
    Markets Conduct Regulations 2014 (the Regulations) and the Financial Markets Conduct Act
    2013 (the Act) in respect of the Obsidian Contributory Mortgage Scheme (the Scheme).
    Tags
    Exemptions, Business
    Type
    Page

  7. 22 October 2019

    Financial Markets Conduct Act (Masthead Joint Venture) Exemption Notice 2014

    This notice, which comes into force on 1 December 2014 and is revoked on 30 November 2019, exempts certain trustees from regulation 139 of the Financial Markets Conduct Regulations 2014 to the extent that the regulation requires event disclosures given by those trustees to have attached a full copy of the joint venture agreement that constitutes the Masthead Joint Venture. - expired
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  9. 22 October 2019

    ACAMS Conference - OIA response Redacted

    OIA response, dated 22 October 2019, which looks into the FMA’s participation in the October 2019 ACAMS Conference (ACAMS Conference) and more generally about the FMA’s anti-money laundering (AML) regulatory resources.
    Tags
    FMA
    Type
    PDF, OIA

  10. 21 October 2019

    Lonni Investment

    Lonni Investment is not licensed or regulated in New Zealand as a financial service provider.
    Tags
    Unregistered business, Investor warning, Consumer, Scams
    Type
    Page

  11. 18 October 2019

    BL Global Markets Limited

    SUSPENDED by the FMA: Global markets Limited, FSP703051 (previously FSP414426), derivatives issuer licence.
    Tags
    Derivative Issuer, Licensed entity, Roles, Reporting entities, Business
    Type
    Page

  12. 18 October 2019

    Circle Markets Limited

    FMA has issued a formal warning to a non-licensed derivatives issuer and forex provider, Circle Markets Limited, under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT).
    Tags
    AML/CFT, Derivative Issuer, Roles, Business, Enforcement
    Type
    Page

  13. 18 October 2019

    FMA issues AML/CFT warning to Circle Markets Limited

    The Financial Markets Authority (FMA) has issued a formal warning to a non-licensed derivatives issuer and forex provider, Circle Markets Limited, under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT).
    Tags
    AML/CFT, Roles, Media release, Business, News & Insights
    Type
    Page

  14. 15 October 2019

    Safumax Group Limited

    The FMA is concerned that Safumax Group Limited (SGL) is operating from a false address, and www.safumax.com contains misleading information that SGL is a licensed entity and regulated in New Zealand, when it is not the case.
    Tags
    Unregistered business, Investor warning, Consumer, Scams
    Type
    Page

  15. 10 October 2019

    KiwiSaver providers respond on member engagement but little movement on fees

    The Financial Market Authority (FMA) has published its annual KiwiSaver report for the year to the end of March 2019, showing a welcome increase in default member engagement, but few signs of a reduction in fees.
    Tags
    Media release, KiwiSaver providers, Roles, Business, Managed investment schemes, News & Insights
    Type
    Page