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  1. 19 January 2021

    ASX24 Obligations Review 2020

    Australian Securities Exchange Limited (ASX 24) is licensed to operate the ASX 24 derivatives market (derivatives
    market) in New Zealand. The FMA is required to report at least once every two years1 on how well ASX 24 is meeting
    its licensed market operator obligations. This review covers the period 1 July 2018 to 30 June 2020. T
    Tags
    Monitoring, Reports and Papers, Market operator, Roles, Business, News & Insights
    Type
    PDF

  2. 18 January 2021

    Consulation Review of wholesale investor exclusion exemption

    This consultation is for all interested people including wholesale investors, banks, brokers, issuers and legal advisers. It seeks feedback to inform our review of the
    Financial Markets Conduct (Wholesale Investor Exclusion - $750,000 Minimum Investment) Exemption Notice 2017.
    Tags
    Offer disclosure for equity and debt offers, Managed investment schemes, Consultations, Roles, Supervisor, Business
    Type
    PDF

  8. 23 December 2020

    Ding Sheng International Co. Ltd

    Ding Sheng International Co. Ltd could be involved in a scam. It is not a NZ company and is not registered in NZ to offer financial services to NZ clients.
    Tags
    Suspected scam, Scams
    Type
    Page

  12. 23 December 2020

    Innovative Hedging Strategies

    Innovative Hedging Strategies is offering financial services to New Zealand residents but is not registered as a Financial Service Provider in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  14. 22 December 2020

    Privacy Statement

    The Financial Markets Authority is committed to ensuring your privacy is protected. Read our Privacy policy here.
    Tags
    Type
    Page

  15. 22 December 2020

    Rodney McCall and Morgan Cooper Limited

    The FMA alleges Mr McCall contacted people and convinced them to ‘invest’ by transferring money into bank accounts he controlled. After incorporating a company, Morgan Cooper Limited, he further cold-called other investors to promote a foreign exchange investment service which did not exist.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page