Promoting fair, efficient and transparent financial markets

Promoting fair, efficient and transparent financial markets



    30 November 2015 - offers under the Securities Act

    Only continuous issuers and entities that did not require a prospectus as a result of a FMA exemption can continue to offer under the Securities Act. Read more ›

    30 November 2015 - DIMS

    AFAs who are personalised DIMS providers must have sent written notice to existing clients regarding description of service and scope of investment authority, comply with ongoing and annual reporting obligations.

    1 December 2015 - Derivatives issuers

    All derivative issuers (i.e. including those under a transitional licence with disclosure conditions) must use an FMC PDS for regulated offers of derivatives.


    Seeking PTT investors

    We want to contact anyone who has invested with Mr Steven Robertson through PTT Ltd; Maxwell Foster Ltd; Harrington Group Ltd; Gibson McLeod Ltd; Russell & Brown Ltd; Armstrong Group Ltd; Morrison Ross Ltd or Alba International Ltd. Read details here.

    Hanover update

    Eligible investors in Hanover have now received compensation payments following the first round of distributions. These payments follows the FMA’s settlement with Hanover earlier this year. Read more >



    Draft guidance on disclosure of certain fees and returns by managed funds

    Submissions close Friday 27 November. Read more >



    Proposed variations to standard conditions of market services licences

    Submissions close Monday 14 December. Read more >



    Proposal for annual declaration of compliance for Financial Markets Conduct Act 2013 licensees

    Submissions close on Monday 21 December. Read more >


Case updates

Case updates

  • Arena Capital/Blackfort investigation

    Arena Capital/Blackfort investigation

    Arena Capital Limited was placed into liquidation in the Christchurch High Court on 24 July 2015. Korda Mentha (the current receivers of Arena) have been appointed as liquidators. The receivers’ update to the Companies Office can be found here and the amended update on the KordaMentha website noting the liquidation of Arena can be found here.

  • hanover

    Hanover Finance Companies Settlement

    Update: Eligible investors in Hanover will receive a compensation payment in mid-November. This first payment follows the FMA’s settlement with Hanover earlier this year. Find out more here.


Investment basics small

Investment basics are essential. Here’s where to start…

Investing is about putting your money to work to achieve your personal financial goals. 'Plan your life, live your plan.' Yes, it's a cliché. But when it comes to investing your money, it makes a lot of sense to have a game plan.

The types of investments you should consider will depend on your investment goals. It's also important to consider the saying “don’t put all your eggs in one basket” and to diversify your investment choices as appropriate.

A smart investor takes time to understand the basic principles of investing and then follows a carefully tailored investment plan.

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