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Found 2344 results. Displaying page 156 of 157

  1. 10 May 2016

    Management bans and undertakings of non-participation

    Listed below are individuals who are precluded from engaging in certain activities in respect of the governance and/or management of companies as a consequence of action taken by the FMA.
    Tags
    Enforceable action, Enforceable undertaking, Powers, Enforcement
    Type
    Page

  3. 4 March 2011

    Nathans' Director Pleads Guilty to Securities Commission Charges

    John Hotchin, a former director of Nathans Finance NZ Limited (in receivership) ('Nathans') has pleaded guilty to three charges laid by the Securities Commission under section 58 of the Securities Act 1978. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  4. 2 June 2010

    Guide for Authorised Financial Advisers Released

    The Securities Commission today released the AFA Adviser Business Statement Guide to help financial advisers prepare for the new regulatory regime. The guide explains the document to be prepared by an adviser applying to become an Authorised Financial Adviser (AFA).
    Tags
    Media release, News & Insights
    Type
    Page, Guidance

  7. 5 May 2017

    KiwiSaver trial to target decision-making a decade out from retirement

    The FMA is working with ANZ to see if behavioural insights can prompt more ANZ KiwiSaver members to get retirement advice, or use retirement-planning tools when they hit 56 years old.
    Tags
    KiwiSaver providers, Media release, Managed investment schemes, Roles, Business, News & Insights
    Type
    Page

  8. 12 December 2022

    Krypto Security charges non-existent fees

    A New Zealand resident was charged large fees by Krypto Security who claimed to be able to help recover stolen cryptocurrencies.
    Tags
    Fake regulator, Suspected scam, Scams
    Type
    Page

  9. 12 March 2014

    Bridgecorp and Bridgecorp Investments (BIL)

    FMA alleged that the directors( Rodney Petricevic, Robert Roest, Bruce Davidson, Gary Urwin and Peter Steigrad) made untrue statements in the investment statements and registered prospectuses, prospectus extension certificates of Bridgecorp and BIL. They also made other false or misleading statements in Bridgecorp and BIL documents. Read more.
    Tags
    Enforcement
    Type
    Page

  10. 3 February 2023

    Consultation: Proposed guidance on reasonable grounds for financial advice about IPOs and listed equity securities

    We are consulting on proposed guidance that explains the FMA’s approach to applying and enforcing Code Standard 3 of the Code of Professional Conduct for Financial Advice Services, in relation to financial advice about Initial Public Offerings (IPOs) and listed equity securities.
    Tags
    Consultations, Financial Advice Provider, Financial Adviser, Roles, Business, Nominated representatives
    Type
    Page

  13. 5 November 2018

    Bank Conduct and Culture Review

    The Bank Conduct and Culture Review is a report that documents the findings from an FMA and RBNZ review of the conduct and culture in New Zealand retail banks.
    Tags
    Directors, Conduct, Roles, Banking, Reports and Papers, Business
    Type
    Page, Report

  14. 21 December 2022

    AML/CFT

    The Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the Act) and its regulations place obligations on New Zealand’s financial institutions to detect and deter money laundering and terrorism financing. Find out more about your AML/CFT obligations on this page.
    Tags
    AML/CFT, Roles, Obligations, Reporting entities, AML/CFT act 2009, Legislation, Business
    Type
    Page

  15. 12 June 2023

    Market Radar – Unreasonably withholds clients’ funds

    The entity offers trading in cryptocurrency, forex and CFDs via their website. However, Market Radar is not a registered entity, nor a registered financial service provider in New Zealand. As such, they are not registered to provide financial products or services to New Zealand residents, nor do they hold a Derivatives Issuer Licence.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page