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  1. 23 November 2017

    Fullerton Markets Ltd - Warning

    Notification of a formal warning from the FMA to Fullerton Markets Ltd under section 80 of the Anti-money laundering and countering finance of terrorism Act 2009. 23 November 2017.
    Tags
    Enforcement
    Type
    PDF

  2. 21 November 2017

    FMA releases KiwiSaver Tracker

    The FMA KiwiSaver Tracker uses the information KiwiSaver providers give investors through their quarterly fund updates and via the Companies Office’s Disclose Register.
    Tags
    KiwiSaver providers, KiwiSaver & Superannuation, Media release, Roles, Business, Consumer, Managed investment schemes, News & Insights
    Type
    Page

  3. 17 November 2017

    Bridge Capital Advisors

    The Australian Securities and Investments Commission (ASIC) warn that Bridge Capital Advisors could be involved in a scam and is an unlicensed entity in Australia.
    Tags
    Suspected scam, International regulator alerts, Scams
    Type
    Page

  4. 16 November 2017

    US International Investment Trade Authority

    The US International Investment Trade Authority is falsely claiming to be a financial services regulator and endorsing products and services from questionable sources.
    Tags
    Fake regulator, Scams
    Type
    Page

  5. 16 November 2017

    Consultation paper: Proposed exemption to facilitate personalised digital advice

    Consultation paper: Proposed exemption to facilitate personalised digital advice. We are now open for applications by providers for the exemption. Read more about it here.
    Tags
    Financial Advice Provider, Financial Adviser, Interposed persons under new financial advice regime, Consultations, Roles, Business
    Type
    Page

  6. 16 November 2017

    Apex Capital AG

    Apex Capital AG is not registered to provide financial services in New Zealand.
    Tags
    Unregistered business, Investor warning, Consumer, Scams
    Type
    Page

  7. 16 November 2017

    FMA urges investors to know scam warning signs

    In October 2017 the FMA recorded the highest number of monthly calls about fraud, scams and cold calls for more than two years. Check before you invest.
    Tags
    Media release, Consumer, News & Insights, Scams
    Type
    Page

  8. 15 November 2017

    Victoria Capital Group

    Victoria Capital Group is not registered to provide financial services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer, Scams
    Type
    Page

  9. 15 November 2017

    Outcome of FMA investigation into Goldman Sachs NZ Ltd

    The Financial Markets Authority (FMA) has concluded an investigation into certain trading activity by Goldman Sachs New Zealand LTD (GS). The GS investigation was prompted by concerns arising from an investigation into trading by Mark Warminger and Milford Asset Management. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  11. 15 November 2017

    Investigation into certain trading conduct of Goldman Sachs New Zealand Limited

    During our investigation into Mark Warminger, we saw trading activity by Goldman Sachs that gave cause for concern and warranted further investigation. This activity may have presented a false or misleading appearance of the price and supply of securities, which is why it came to our attention. Read more.
    Tags
    Cases, Investigations, Reports and Papers, News & Insights, Enforcement
    Type
    Page

  13. 14 November 2017

    Consultation FMA Corporate Governance handbook

    This consultation is for the directors, executives and advisers of non-listed and public-sector companies and other
    entities. We seek feedback about whether our revised
    handbook helps directors, executives and advisers to think about how to apply corporate governance principles.
    Tags
    Governance, Directors, Consultations, Roles, Business, FMA
    Type
    PDF

  14. 9 November 2017

    Johnson Financial Consulting

    Johnson Financial Consulting are not registered to provide financial services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page