New Zealand regulator warns InvestNow for AML/CFT deficiencies
New Zealand’s Financial Markets Authority (FMA) has issued a formal warning to InvestNow Saving and Investment Service Limited.
New Zealand FMA
FMA orders Kalkine to cease making outgoing sales calls to New Zealanders
FMA has directed Kalkine to stop making outgoing sales calls to people in New Zealand following concerns about misleading marketing conduct.
New Zealand watchdog warns GSF Asia Pacific is offering fake pre-IPO shares
New Zealand’s FMA is concerned that GSF Asia Pacific (GSF) may be operating a scam via their website gsf-ap.com
NZ regulator launches legal action over insider trading in Pushpay shares
New Zealand’s FMA files court proceedings alleging insider trading relating to the sale of Pushpay shares.
New Zealand FMA grants first ‘investment passport’ under ARFP to Smartshares Limited
The Financial Markets Authority (FMA) has approved Smartshares Limited as a passport fund under the Asia Region Funds Passport (ARFP).
New Zealand’s FMA censures Jarden Securities for license breaches by OMF
FMA has formally censured Jarden Securities for contraventions by OM Financial Limited (OMF) as a licensed derivatives issuer.
NZ regulator issues guidance on advertising of financial products
In its guidance, New Zealand’s FMA notes that any claims in the advertising of financial products must be substantiated.
New Zealand watchdog censures Firma Foreign Exchange Corporation (NZ)
Firma Foreign Exchange Corporation (NZ) Limited has contravened a number of its obligations as a licensed derivatives issuer (DI).
CLSA Premium fined for AML breaches following NZ regulatory proceedings
CLSA Premium New Zealand Limited (CLSAP NZ) will have to pay a total pecuniary penalty of $770,000 for AML breaches.
NZ regulator slams FX broker Rockfort Markets for misleading advertising
FMA has directed FX and CFD broker Rockfort Markets to remove or amend misleading advertising statements.
