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20 October 2022

Investments for wholesale investors

Wholesale investment offers are aimed at experienced investors, often with large sums of money to invest. Read more about wholesale investors and investments on this page.
20 October 2022

Podcast

'5 minutes with the FMA' is an audio content format or podcast delivered by the FMA to support our current focus.
20 October 2022

Du Val Capital Partners Limited and Du Val BTR GP Limited - Formal Warning

FMA warns Du Val firms for improper use of wholesale investor exclusion, citing incomplete certificates under FMCA Part 3.
20 October 2022

E+O Property Syndication Limited - Formal Warning

FMA formally warns E+O Property Syndication for possibly misusing the wholesale investor exclusion and failing to meet disclosure obligations.
20 October 2022

Jasper NZ Investments Limited - Formal Warning

FMA warns Jasper NZ Investments for potentially misusing the wholesale investor exclusion and failing to provide required disclosures to investors.
20 October 2022

Provincia Property Fund Limited - Formal Warning

FMA warns Provincia Property Fund for potentially misusing the wholesale investor exclusion and failing to disclose to investors under the FMC Act.
20 October 2022

How to cancel your FMC Act licence

FMA guide on cancelling a Financial Markets Conduct Act licence, outlining required steps, information, and ongoing obligations.
19 October 2022

InvestNow Saving and Investment Service Limited - Warning

Formal warning from FMA to InvestNow Saving and Investment Service Limited for failing to comply with anti-money laundering.
12 October 2022

AML/CFT Designated Business Group – Scope Guideline

This guideline is designed to help reporting entities understand which obligations may be shared by members of a designated business group (DBG).
10 October 2022

Consultation FAP Class 2 regulatory returns

This consultation is intended for Class 2 licensed financial advice providers (FAPs).
10 October 2022

Consultation FAP Regulatory Returns Class 1

This consultation document is intended for Class 1 licensed financial advice providers (FAPs).
10 October 2022

Feedback form FAP Regulatory Returns Class 1 Consultation

Feedback form for proposed regulatory returns for licensed Class 1 financial advice providers (FAPs)
10 October 2022

Feedback form FAP Class 2 Regulatory Returns consultation

Feedback form for consultation - Class 2 FAP regulatory returns.
10 October 2022

Questions for FAP Class 2 regulatory returns

Questions you will be asked online when you submit your FAP Class 2 regulatory return.
10 October 2022

Ethical investing

Ethical investing, responsible investing, green finance, sustainable investing, social investing, ESG. Whatever you call it, many of us are keen to align our investment choices to our values. But before you jump in because an investment claims to be ‘ethical’, take a deeper look at what you’re investing in and other factors you may need to consider.