Search results

Found 6004 results. Displaying page 5 of 401

1. 17 April 2023

   GPI Consultants – Cold calling, not registered in New Zealand

   Investor warning: GPI consultants is not listed on the Financial Services Provider Register and so is not registered to provide financial products or services to New Zealand residents.

   https://www.fma.govt.nz/library/unregistered-businesses/gpi-consultants/

   Tags

   Investor warning, Consumer

   Type

   Page

2. 14 April 2023

   Change of manager director notification form

   Change in managing director notification form.

   https://www.fma.govt.nz/assets/Compliance/Change-of-manager-director-notification-form.pdf (2 MB)

   Tags

   Type

   PDF, Application form

3. 13 April 2023

   Fundrock NZ Limited

   Fundrock NZ Limited is an AML reporting entity

   https://www.fma.govt.nz/business/focus-areas/amlcft/reporting-entities/fundrock-nz-limited/

   Tags

   AML/CFT, Reporting entities, Roles, Business

   Type

   Page

4. 13 April 2023

   Fundrock NZ Limited

   Fundrock NZ Limited, FSP127464, is a licensed Managed Investment Scheme Manager.

   https://www.fma.govt.nz/business/licensed-providers/fundrock-nz-limited/

   Tags

   Licensed entity, Roles, Reporting entities, Business, Managed investment schemes

   Type

   Page

5. 13 April 2023

   Fundrock NZ Limited DBG

   Fundrock NZ Limited DBG including: Fundrock NZ Limited and InvestNow Saving and Investment Services Limited

   https://www.fma.govt.nz/business/licensed-providers/fundrock-nz-limited-dbg/

   Tags

   AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)

   Type

   Page

6. 13 April 2023

   ICARUS WEALTH LIMITED

   ICARUS WEALTH LIMITED (FSP1004468) is an AML/CFT reporting entity

   https://www.fma.govt.nz/business/focus-areas/amlcft/reporting-entities/icarus-wealth-limited/

   Tags

   AML/CFT, Roles, Reporting entities, Business

   Type

   Page

7. 12 April 2023

   Judgment FMA v Zhong Ors

   High Court Judgment: Wei (Walker) Zhong and Lei (Regina) Ding have been found to have contravened the Financial Markets Conduct Act 2013 in relation to the trading of Oceania Natural Limited (ONL) shares.

   https://www.fma.govt.nz/assets/Enforcement/Judgements/Judgment-FMA-v-Zhong-Ors.pdf (637 KB)

   Tags

   Judgment, Enforcement

   Type

   PDF

8. 12 April 2023

   Two individuals found to have breached market manipulation prohibitions and disclosure obligations

   Media release announcing High Court judgment in relation to FMA vs Wei (Walker) Zhong and Lei (Regina) Ding market manipulation of Oceania Natural Limited (ONL) shares trading.

   https://www.fma.govt.nz/news/all-releases/media-releases/market-manipulation-prohibitions-and-disclosure-obligations-breach/

   Tags

   Media release, Judgment, News & Insights, Enforcement

   Type

   Page

9. 12 April 2023

   Oceania Natural Limited (ONL) and associated individuals

   FMA alleged breaches of market manipulation prohibitions and the disclosure obligations in the Financial Markets Conduct Act 2013. Read more.

   https://www.fma.govt.nz/about-us/enforcement/cases/onl/

   Tags

   Market manipulation, Court – civil, Powers, Enforcement

   Type

   Page

10. 11 April 2023

    Cathay Holdings Ltd – Imposter website

    FMA issues warning against unregistered investment company cathayholdingslimited.com.

    https://www.fma.govt.nz/library/warnings-and-alerts/cathayholdingslimited-com/

    Tags

    Imposter website, Scams

    Type

    Page

11. 6 April 2023

    Peer-to-peer and crowdfunding: sector snapshot

    This report is a 'snapshot' of peer-to-peer lending (P2P) and crowdfunding activity in New Zealand

    https://www.fma.govt.nz/library/reports-and-papers/peer-to-peer-and-crowdfunding-sector-snapshot/

    Tags

    Crowdfunding providers, Roles, Reports and Papers, Business, News & Insights, Peer-to-peer lending service providers

    Type

    Page, Report

12. 6 April 2023

    ICE Futures U.S., Inc

    ICE Futures U.S., Inc is NOT licensed by the FMA as market operator. Their license was cancelled 5 April 2023.
    

    https://www.fma.govt.nz/business/licensed-providers/ice-futures-u-s-inc/

    Tags

    Roles, Licensed entity, Reporting entities, Business, Market operator

    Type

    Page

13. 5 April 2023

    Climate risks and the impact on financial statement audits

    This document provides clarity for auditors about the expectations for information about climate risks in audit files.

    https://www.fma.govt.nz/library/guidance-library/climate-risks-and-the-impact-on-financial-statement-audits/

    Tags

    Climate related disclosure, Auditors, Roles, Ethical finance, Business

    Type

    Page, Guidance

14. 5 April 2023

    Here’s why complaints are really 'moments of truth'

    Clare Bolingford, FMA Executive Director Regulatory Delivery talks about the value of complaints to financial services companies.

    https://www.fma.govt.nz/library/opinion/complaints-are-moments-of-truth/

    Tags

    Banking, Conduct, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Business, News & Insights

    Type

    Page

15. 5 April 2023

    Financial Markets Conduct (New Zealand Local Government Funding Agency Limited Sustainable Financing Bond Offer) Exemption Notice 2023

    Financial Markets Conduct (New Zealand Local Government Funding Agency Limited Sustainable Financing Bond Offer) Exemption Notice 2023

    https://www.fma.govt.nz/assets/Exemption/05042023-LGFA-Sustainable-Funding-Bond-Exemption-Notice.pdf (214 KB)

    Tags

    Type

    PDF, Exemption notice