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  3. Whistleblowing and informants

Whistleblowing and informants

We rely on people in the market to help us to maintain market integrity.

We would like to hear from you if you have information about:

  • misleading information in disclosure documents such as a prospectus, investment statement or product disclosure statement
  • non-payment of money to investors when due
  • use of inside information for profit on the sharemarket
  • financial advice given by people who are not Authorised Financial Advisers (AFAs)
  • financial services provided by people who are not registered
  • misleading reporting or non-reporting of relevant information to NZX or to update a prospectus or investment statement
  • low-ball share offers
  • misleading or deceptive conduct for financial products and services - see more about this on our fair dealing page
  • any investigations the FMA is conducting.

Protecting your identity

We will take all possible steps to protect the identity of anyone who gives us information in good faith

Information provided to us in confidence is protected by the Financial Markets Conduct Act and remains confidential, except where the FMA Act permits its disclosure. If we need to disclose information that may reveal your identity, we will let you know first. The FMA may be legally required to disclose your identity, or disclosure may be necessary to successfully progress an investigation.

You can provide information anonymously, but this may limit our ability to investigate the matter further.

Legal protection

If you make a disclosure to the FMA, in certain cases the law will protect your identity and may protect you from any related legal action, as contained in the following Acts:

If the law does not provide specific whistleblower protection, we cannot guarantee you immunity from legal action in return for information. However, we will always take into account voluntary disclosures and other forms of cooperation when considering what action is appropriate.