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  2. 14 July 2020

    Libra Markets/Libramarkets

    Libra Markets/Libramarkets has the hallmarks of a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  3. 14 July 2020

    Class legislative notice summary 2020

    This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted as at 30 June 2020. It includes exemptions, designations, frameworks or methodologies, and public accountability notices
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  4. 14 July 2020

    StarkMarkets

    StarkMarkets is not a registered company or financial service provider in New Zealand. We are concerned that it has the hallmarks of a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  5. 13 July 2020

    World Markets

    World Markets and its website, https://worldmarkets.com/ have the hallmarks of a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  6. 10 July 2020

    Perpetual Trust Limited

    Perpetual Trust Limited (FSP40361) is a licenced DIMS provider.
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page

  7. 10 July 2020

    GARNER WEALTH SOLUTIONS LIMITED

    GARNER WEALTH SOLUTIONS LIMITED (FSP707292) is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  8. 9 July 2020

    Crowdsphere Limited

    Crowdsphere Limited (FSP360186)
    Tags
    Peer-to-peer lending service providers, Licensed entity, Roles, Business
    Type
    Page

  10. 9 July 2020

    Consultation review of 16 class exemptions notices expiring in 2021

    We are seeking feedback on our review of 16 class exemption notices that support the regime under the Financial Markets Conduct Act 2013 (FMC Act). These notices will expire between August and December 2021.
    We would like feedback to inform our review of these class notices.
    Tags
    Consultations, FMC Act, Legislation, Business
    Type
    PDF

  11. 9 July 2020

    High Risk Jurisdictions subject Call for Action FATF July2020

    FATF describes high-risk jurisdictions subject to a “Call for Action” as having significant strategic deficiencies in their regimes to counter money laundering, terrorist financing, and financing of proliferation. Two countries are on this high-risk list: North Korea and Iran.
    Tags
    AML/CFT, Roles, Business
    Type
    PDF

  12. 7 July 2020

    Financial Markets Conduct (AxiCorp Financial Services Pty) Exemption Notice 2020.

    The Financial Markets Conduct (AxiCorp Financial Services Pty Ltd) Exemption Notice 2020 provides relief to AxiCorp Financial Services Pty Ltd (AxiCorp) from certain financial reporting and audit obligations of the FMC Act as well as the requirement in Schedule 6 of the FMC Regulations that the register entry for an offer of derivatives contains financial statements that comply with NZ GAAP and have been audited by a qualified auditor (as that term is defined in the FMC Act).
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  13. 6 July 2020

    Financial Markets Conduct (Takeovers Panel) Exemption Notice 2020

    The notice exempts the Takeovers Panel (the Panel) from the substantial holding disclosure provisions of the Financial Markets Conduct Act 2013 (the FMC Act) in respect of any relevant interest in quoted voting products of a listed issuer that the Panel has, as the result of an enforceable undertaking.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page