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  1. 11 October 2023

    Saltaire Finance - Unregistered business, unsolicited offers

    We are aware that a representative from saltairefinanceplc.com has made unsolicited contact to a New Zealand resident and offered investment in shares. The Financial Markets Conduct Act 2013 prohibits unsolicited offers of financial products.
    Tags
    Investor warning, Consumer
    Type
    Page

  2. 11 October 2023

    Kiwibank

    The FMA filed High Court civil proceedings against Kiwibank for making false and/or misleading representations, under the fair dealing provisions of the Financial Markets Conduct Act (FMC Act). Read the case timeline on this page.
    Tags
    Cases, Court – civil, Powers, Enforcement
    Type
    Page

  4. 6 October 2023

    9XProfits – Suspected scam

    We recommend caution when dealing with 9XProfits and its website.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  5. 6 October 2023

    AgroCura – Imposter website

    The entity AgroCura is purporting to be a registered company in New Zealand by using the name and Certificate of Incorporation of a registered New Zealand company, Agrocura Limited. A director of Agrocura Limited has confirmed it has no association with this website. Note, the initial warning has been updated.
    Tags
    Imposter website, Investor warning, Consumer, Scams
    Type
    Page

  6. 5 October 2023

    FMA report: Lessons learned from Barry Kloogh Ponzi

    The FMA published a report on the findings of its inquiries following the Barry Kloogh fraud. These inquiries focused on the services provided to Kloogh by third party market participants.
    Tags
    Media release, Client money or property services provider, Financial Adviser, Roles, Business, News & Insights, Enforcement
    Type
    Page

  7. 5 October 2023

    Lessons learned from the Barry Kloogh Ponzi scheme

    The FMA has issued a report following the fraudulent activities of Barry Kloogh. This report records the FMA’s views and findings on the conduct that was the subject of these enquiries, the law that applies to that conduct, and our actions as a result of our findings.
    Tags
    Reports and Papers, Client money or property services provider, Roles, Financial Advice Provider, Financial Adviser, Business, News & Insights, Enforcement
    Type
    Page

  9. 5 October 2023

    Barry Kloogh (Financial Planning Limited and Impact Enterprises Limited)

    Mr Kloogh was offering brokering services to clients through the first defendant, Financial Planning Ltd, and the second defendant, Impact Enterprises Ltd, although neither they nor he was registered to offer broking services. The FMA referred the matter to the Serious Fraud Office.
    Tags
    Court – criminal, Licence cancellation, Powers, Enforcement
    Type
    Page

  10. 4 October 2023

    FMA publishes final Climate Related Disclosures regime record keeping guidance

    Media release from the FMA announcing release of final guidance for Climate Reporting Entities (CREs) on meeting their record keeping obligations.
    Tags
    Media release, Climate related disclosure, Climate Reporting Entities, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Guidance

  11. 4 October 2023

    Guidance for keeping proper climate-related disclosure records

    This guidance note is intended to help climate reporting entities (CREs) meet their statutory requirement to keep proper climate-related disclosure records at all times.
    Tags
    Climate related disclosure, Climate Reporting Entities, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Guidance

  13. 4 October 2023

    Guidance for keeping proper climate related disclosure records

    This guidance note is for entities that have climate-related
    disclosure obligations under Part 7A of the Financial Markets
    Conduct Act 2013. It is intended to help climate reporting
    entities (CREs) meet their statutory requirement to keep
    proper climate-related disclosure records at all times.
    Tags
    Climate related disclosure, Climate Reporting Entities, Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF, Guidance

  14. 4 October 2023

    CRD record keeping summary of key themes

    Climate related disclosure record keeping summary of key themes.
    Tags
    Climate related disclosure, Climate Reporting Entities, Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF