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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. 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/

    • 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/

  3. 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/

    • 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/