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  2. 30 November 2018

    Wynyard Group Limited - Investigation report

    This report sets out the Financial Markets Authority’s (FMA) conclusions following an investigation into the compliance of Wynyard Group Limited (Wynyard) with its continuous disclosure and fair dealing obligations. The investigation considered the period leading up to the company’s failure in late 2016.
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    Type
    PDF

  4. 28 November 2018

    Brian John Ferguson (FSP155185)

    Mr Ferguson (FSP155185) contravened section 34 of the Financial Advisers Act 2008 (FA Act) by copying and pasting client signatures in insurance policy documents.
    Tags
    Scams
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    Page

  5. 28 November 2018

    Public warning –Brian (John) Ferguson

    The Financial Markets Authority (FMA) has issued a public warning about Brian Ferguson, a registered financial adviser from Palmerston North.
    Tags
    Media release, Formal warning, Powers, News & Insights, Enforcement
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    Page

  6. 28 November 2018

    BrighterTrade

    We note a recent warning published by the Australian Securities and Investments Commission (ASIC) in relation to Igoten OU also knowns as BrighterTrade.
    Tags
    Suspected scam, Scams
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    Page

  7. 26 November 2018

    i-Select Superannuation Scheme Waiver

    On 22 November 2018 the FMA granted a waiver of part of the FMA levy to i-Select Superannuation Scheme, which is comprised of the Personal Plans, with i-Select Limited (i-Select) acting as the manager of the Scheme.
    Tags
    KiwiSaver & Superannuation, Waivers, Investor information, Business, Consumer
    Type
    PDF

  8. 26 November 2018

    FMA publishes 2018 Audit Quality Report & Directors’ Guide

    The FMA's Audit Quality Report 2018 expresses concern at the continued inconsistencies in audits provided by the same firm, while noting the overall quality of audits has improved in recent years.
    Tags
    Auditors, Directors, Media release, Roles, Business, News & Insights
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    Page

  13. 23 November 2018

    Saturn Advice Limited

    Saturn Advice Limited, FSP608669, is a licensed to provide Discretionary Investment Management Services (DIMS).
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
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    Page

  14. 23 November 2018

    Peer-to-peer lending/crowdfunding 2018 data published

    The FMA today published its second statistical report on peer to peer lending and crowd funding in New Zealand. The industry is required to submit an annual information return each year.
    Tags
    Crowdfunding providers, Media release, Roles, Business, News & Insights, Peer-to-peer lending service providers
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    Page

  15. 22 November 2018

    Portfolio Superannuation Scheme Levy Waiver

    On 22 November 2018, the FMA granted a waiver of part of the FMA levy to Portfolio Superannuation Scheme, which is comprised of the Personal Plans, with Saturn Invest New Zealand Limited (Saturn) acting as the manager of the Scheme.
    Tags
    Managed investment schemes, Investor information, KiwiSaver & Superannuation, Roles, Waivers, Business, Consumer
    Type
    PDF