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  1. 18 December 2019

    Atlanta Mediation Group

    Atlanta Mediation Group could be involved in a scam. We note that the U.S. Securities and Exchanges Commission has issued a public alert about Atlanta Mediation Group.
    Tags
    Suspected scam, Scams
    Type
    Page

  2. 17 December 2019

    Trendingraphs (Premium Systems)

    Trendingraphs (Premium Systems) is not a registered company or financial service provider in New Zealand.
    Tags
    Suspected scam, Scams
    Type
    Page

  3. 17 December 2019

    Thompson Mergers

    The FMA recommends exercising caution before dealing with Thompson Mergers, Newcorp Capital and the website www.thompsonmergers.com.
    Tags
    Suspected scam, Scams
    Type
    Page

  4. 17 December 2019

    FMA files civil proceedings against CBL Corporation, its directors and chief financial officer

    The FMA has issued two sets of civil proceedings in the Auckland High Court against CBL Corporation Limited (In liquidation) (CBLC), the six directors and the chief financial officer alleging multiple breaches of the Financial Markets Conduct Act 2013 (“FMC Act”). The FMA is seeking declarations of contravention¹ and civil pecuniary penalties in both proceedings.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  5. 13 December 2019

    ENLIGHTENED LIFE LIMITED

    Enlightened Life Limited, FSP532766, is an AML reporting entity supervised by the FMA.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  6. 13 December 2019

    Green bonds same class exclusion info sheet 2019

    This information sheet explains the circumstances in which an issuer can make an offer of green bonds under the same class exclusion. It also explains when the Financial Markets Authority (FMA) might consider granting an individual exemption to facilitate offers of green bonds with the same credit characteristics as quoted ‘vanilla’ bonds from the same issuer.
    Tags
    Derivative Issuer, Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF, Information Sheet

  7. 13 December 2019

    FMA releases findings of managed investment scheme (MIS) custody review

    The Financial Markets Authority has published a summary report on a review of custody arrangements in managed investment schemes (MIS) in response to questions raised by the International Monetary Fund (IMF).
    Tags
    Compliance, Media release, Roles, Business, Managed investment schemes, News & Insights
    Type
    Page

  8. 13 December 2019

    FMA clarifies green bond disclosure requirements

    The Financial Markets Authority (FMA) has published an information sheet outlining when issuers of securities described as “green bonds” can apply the “same class exclusion” to disclosure requirements.
    Tags
    FMC Act, Offer information, Legislation, Media release, Business, News & Insights
    Type
    Page

  9. 13 December 2019

    Thematic review of MIS custody arrangements

    The thematic review of MIS custody arrangements identified issues around the independence of custody arrangements, and inconsistency of custodial processes, procedures and controls. Read the full report here.
    Tags
    Roles, Reports and Papers, KiwiSaver providers, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page

  11. 13 December 2019

    MIS custody arrangements thematic review 2019

    For any managed investment scheme it’s important that scheme property – money and investments – is kept safe. The function of looking after scheme property is called custody. Under the Financial Markets Conduct Act 2013 (FMC Act), custody for retail managed investment schemes is the responsibility of the independent licensed supervisor. This separates custody functions from management of the scheme, and provides an additional layer of protection for investors.
    Tags
    Reports and Papers, Derivative Issuer, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    PDF, Report

  12. 12 December 2019

    CPA accredited body report 2019

    This report contains the findings of our monitoring assessment of CPA Australia for the period 1 July 2018 to 30 June 2019.
    Tags
    Monitoring, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  13. 11 December 2019

    Orion Holdings Capital Management and OH Capital

    The FMA recommends exercising caution before dealing with Orion Holdings Capital Management (OHCM), OH Capital and their websites www.ohcmgmt.com, and https://ohcapital.com/. The business address in Ontario which OHCM and OH Captial purports to be operating from is false. OHCM is not registered to perform business in Canada in any capacity.
    Tags
    Suspected scam, Scams
    Type
    Page

  15. 9 December 2019

    FORTHILL PROPERTY LIMITED

    FortHill Property Limited is an AML reporting entity supervised by the FMA.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page