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Found 462 results. Displaying page 20 of 31

  1. 8 November 2018

    365 Markets

    365 Markets is not registered as a financial service provider in New Zealand and is therefore not permitted to provide financial services to New Zealand residents.
    Tags
    Suspected scam, Scams
    Type
    Page

  2. 2 August 2023

    Class legislative notices summary

    This is a periodical summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.

    Tags
    Regulation updates, Designations, FMC Act, Legislation, Business
    Type
    Page

  4. 22 August 2018

    Capital Management

    Capital Management cold calling New Zealand residents and offering investment opportunities
    Tags
    Suspected scam, Scams
    Type
    Page

  5. 18 October 2023

    Financial Markets Conduct (Product Disclosure Statements in Te Reo Māori and English) Exemption Notice 2023

    The Financial Markets Conduct (Product Disclosure Statements in Te Reo Māori and English) Exemption Notice 2023 provides an exemption for issuers of financial products who wish to provide their PDS in both te reo Māori and English, providing relief from the requirements in the FMC Regulations relating to the prescribed length limits and, if necessary, some prescribed statements and formatting.
    Tags
    Exemptions, Business
    Type
    Page

  6. 28 February 2018

    Consultation paper: Updated Corporate Governance Handbook

    Consultation paper: Updated Corporate Governance Handbook. The handbook is designed as a guide for a wide range of companies and businesses. Read more.
    Tags
    Directors, Consultations, Roles, Business
    Type
    Page

  7. 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
    Type
    Page

  8. 9 August 2018

    FMA sets out its work plan for the year ahead

    The FMA has released its annual corporate plan as the conduct and culture of New Zealand’s financial services industry comes under greater scrutiny.
    Tags
    Media release, Governance, FMA, News & Insights
    Type
    Page

  9. 6 June 2019

    Morgan DeVere Corporate Finance Limited and director Rene Moorby

    These charges relate to Morgan DeVere Corporate Finance Limited and Director Rene Moorby for breaches of the Financial Service Providers (Registration and Dispute Resolution) Act.
    Tags
    Court – criminal, Powers, FSPR abuse, Enforcement
    Type
    Page

  10. 6 July 2018

    Garry James Patterson

    The FMA has filed charges against Garry James Patterson alleging he was or was holding out as being, in the business of providing financial services in contravention of the Financial Service Providers (Registration and Dispute Resolution) Act 2008 (FSP Act). Read more.
    Tags
    Enforcement
    Type
    Page

  11. 27 June 2019

    FMA annual review of NZX published

    The Financial Markets Authority (FMA) has published its annual review of whether NZX met its statutory obligations as a licensed market operator.
    Tags
    Roles, Media release, Business, Market operator, News & Insights
    Type
    Page

  12. 18 December 2018

    Two men convicted on Crimes Act charges

    Robert Ian South and Murray Byron Provan have been found guilty at Tauranga District Court on charges filed by the FMA. Read more.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  13. 30 November 2018

    FMA reports on Wynyard investigation

    FMA has published the findings of its investigation into Wynyard Group Limited’s (Wynyard) compliance with continuous disclosure and fair dealing obligations.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  14. 1 October 2018

    World Investor Week encourages investors to take the plunge

    FMA has launched a new campaign for World Investor Week to help New Zealanders become more confident investors by addressing some of the uncertainties around investing.
    Tags
    Media release, Campaigns, KiwiSaver & Superannuation, Investing, Consumer, News & Insights
    Type
    Page

  15. 28 June 2018

    Annual review of NZX published

    NZX generally complied with its obligations during the review period. However, a lack of market experience in its market surveillance function meant NZX did not meet its obligation to have adequate arrangements to monitor the conduct of participants on, or in relation to its markets.
    Tags
    Media release, Roles, Business, Market operator, News & Insights
    Type
    Page