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1. 8 May 2019

   Compliance

   The FMA takes a risk-based approach to our monitoring and surveillance activities, meaning we prioritise resources to those participants or practices that present the greatest risk to fair, efficient and transparent financial markets. Our compliance strategy emphasises a 'top of the cliff' approach and focuses on lifting the standards of the businesses and professionals we regulate. Read more about our compliance, monitoring and enforcement approach on this page.

   https://fma.cwp.govt.nz/compliance/

2. 4 April 2022

   Appreciation: reviews by the FMA team

   Interesting podcasts, shows and books reviewed by the FMA team

   https://fma.cwp.govt.nz/news-and-resources/fma-stories/appreciation/

3. 14 February 2022

   Understanding market volatility: how to prepare for a potential market event

   History shows us that share markets can be volatile but they can and do come back – but it might take time. Before that happens, there’s a few things you can do to make sure you and your investments are best positioned to weather any potential ups and downs.

   https://fma.cwp.govt.nz/investors/resources/understanding-market-volatility/

4. 13 December 2021

   Regulatory co-operation

   The FMA co-ordinates our efforts and we share intelligence with other government agencies via the Council of Financial Regulators (CoFR). Find out more about the Council of Financial Regulators (CoFR) and other global agencies we co-operate with here.

   https://fma.cwp.govt.nz/about-us/what-we-do/regulatory-co-operation/

5. 15 July 2021

   Match! Jane met scammer on dating app and lost over $100,000

   Jane contacted the FMA in June 2021 to report a serious investment scam that had cost her more than $100,000. The scammer initially matched with Jane on popular dating app, Hinge, in March. After months of chatting, he lured her into a complicated investment scam involving supposed forex currency trading. Here’s her story.
   

   https://fma.cwp.govt.nz/investors/scams/real-life-scam-stories/match-dating-app-matched-jane-with-scammers/

6. • Imposter website
   • Unregistered business
   • Suspected scam

   28 April 2022

   FMA and Irish regulator issue warning about jms-icav.com

   FMA and regulatory bodies in Ireland have issued a warning about JMS-ICAV. JMS-ICAV is not a registered financial service provider in New Zealand or licensed by the FMA and is therefore not permitted to provide financial products or services to New Zealand residents. New Zealanders have been unsuccessful removing funds from the entity.

   https://fma.cwp.govt.nz/news-and-resources/warnings-and-alerts/fma-and-irish-regulator-issue-warning-about-jms-icav-com/

7. 28 April 2022

   Q&A with the Financial Markets Authority's Tammy Peyper

   Tammy Peyper, Manager of Investor Capability at the FMA talks investing and what to do when markets get rocky.

   https://fma.cwp.govt.nz/news-and-resources/fma-stories/q-and-a-with-the-financial-markets-authoritys-tammy-peyper/

8. 21 April 2020

   Financial Markets Conduct (Imperium Markets Pty Limited) Exemption Notice 2020

   The Notice exempts Imperium Markets Pty Limited from the requirement under section 310 of the FMC Act to have a licence to operate a financial product market in New Zealand, subject to conditions.

   https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/expired-exemptions/financial-markets-conduct-imperium-markets-pty-limited-exemption-notice-2020/

9. • Unregistered business
   • Suspected scam

   8 April 2022

   Providing financial services without being registered in New Zealand: Quwiex Limited

   We are concerned that Quwiex Limited may be involved in a scam. The entity is offering financial services without being registered on the FSPR and is also making statements that appear to be false and misleading and/or unsubstantiated.

   https://fma.cwp.govt.nz/news-and-resources/warnings-and-alerts/quwiex-limited/

10. 3 May 2022

    Why tick box conduct compliance doesn’t cut it anymore

    In this article, FMA Director of Banking and Insurance at Financial Markets Authority Clare Bolingford describes how the regulatory lens is changing to look at how fair and equitable outcomes are for customers

    https://fma.cwp.govt.nz/news-and-resources/fma-stories/tick-box-conduct-compliance-doesnt-cut-it/

11. • KiwiSaver and Superannuation

    6 May 2022

    Consolidated managed fund data

    Quarterly files (from 31 March 2018) with consolidated data for non-KiwiSaver managed funds.

    https://fma.cwp.govt.nz/news-and-resources/reports-and-papers/managed-fund-data/

12. 6 May 2022

    FMA issues stop order against The One Management GP Limited

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has today confirmed it has made a stop order against The One Management GP Limited regarding an offer in relation to The One Property LP¹ (the Fund), which is only available to wholesale investors, including eligible investors.

    https://fma.cwp.govt.nz/news-and-resources/media-releases/stop-order-against-the-one-management-gp-limited/

13. 4 May 2022

    FMA Update

    We provide regular communications as part of our efforts to ensure you have access to the appropriate resources to help you make informed decisions – whether you are an industry professional or regular investor. Our monthly market update is called the FMA Update. Subscribe here.
    

    https://fma.cwp.govt.nz/news-and-resources/fma-update/

14. • Unregistered business
    • Suspected scam

    16 May 2022

    Forex trader and Crypto exchange, Gold Century Ventures may be operating a scam

    WARNING: Gold Century Ventures is not a registered financial service provider in New Zealand, they are not permitted to provide financial services to New Zealand residents. We recommend exercising caution when dealing with this entity.

    https://fma.cwp.govt.nz/news-and-resources/warnings-and-alerts/gold-century-ventures/

15. • Designated Business Groups

    17 January 2022

    Alvarium DBG

    Alvarium DBG including: Alvarium Wealth (NZ) Limited, Alvarium Wealth Nominees (NZ) Limited, Pathfinder Asset Management Limited, AINZ Fund 7 Limited: Alvarium Atlas Limited; Alvarium Funds (NZ) Limited; Alvarium Investments (NZ) Limited; LJ Fund No.4 Limited and LJ Fund No.6 Limited

    https://fma.cwp.govt.nz/compliance/licensed-providers/alvarium-dbg/

16. • Designated Business Groups

    13 December 2021

    APEX Group DBG

    APEX Group DBG including: Apex Advice Group Limited, Apex Tauranga, Apex Waikato Limited, and Apex Christchurch Limited.

    https://fma.cwp.govt.nz/compliance/licensed-providers/apex-group-dbg/

17. 12 May 2022

    Eddystone Financial Services NZ Limited

    Eddystone Financial Services NZ Limited, FSP1002796 is an AML reporting entity

    https://fma.cwp.govt.nz/compliance/amlcft/reporting-entities/eddystone-financial-services-nz-limited/

18. 12 May 2022

    Eddystone Nominees NZ Limited

    Eddystone Nominees NZ Limited, FSP1002975 is an AML reporting entity

    https://fma.cwp.govt.nz/compliance/amlcft/reporting-entities/eddystone-nominees-nz-limited/

19. 4 May 2022

    Lewis Tucker FP Management Limited

    Lewis Tucker FP Management Limited FSP 1003027 is an AML reporting entity

    https://fma.cwp.govt.nz/compliance/amlcft/reporting-entities/lewis-tucker-fp-management-limited/

20. 12 May 2022

    Catalyst Financial Limited

    Catalyst Financial Limited, FSP745811 is an AML reporting entity

    https://fma.cwp.govt.nz/compliance/amlcft/reporting-entities/catalyst-financial-limited/