1. Home
450814385 high res

Promoting fair, efficient and transparent financial markets

Quick links

                                                                                           
AFA information return

Change of a director or senior manager notification form 

Recent changes to financial markets regulations

Find a licensed provider

 

Case updates

  • Prince

    Prince & Partners admits failings as Viaduct Trustee

    28 August 2018

    Prince and Partners Trustee Company (Prince) has admitted a series of failings in its role as trustee of Viaduct Capital Limited (Viaduct), a finance company that went into receivership in 2010. The civil proceedings brought by the FMA against Prince have been settled for $4.5 million.

    It is the first time the FMA has brought a case under section 34 of the Financial Markets Authority Act 2011. These powers enable the FMA to exercise the rights of action of investors, in this case, the Treasury and investors who were not covered by the Retail Deposit Crown Guarantee Scheme. The settlement has been approved by the High Court, a condition for proceedings brought using these powers.  Read in full.

  • Forestlands

    Update for Forestlands investors

    7 August 2017

    We have received queries about the sale price of the forests. The Overseas Investment Office has recently published the sale price received by Forestlands. This information is now available on the OIO website which references a sale price of $23,500,000.
     
    Regarding the distribution of funds, as we have previously stated the responsibility for determining a process to allocate funds among the companies or investors remains with the Forestlands companies and their director. The FMA has been informed that the director has instructed third party experts, including Korda Mentha, with a view towards advising on distributions to shareholders of the Forestlands companies.
     
    We cannot comment on other matters that are currently the subject of ongoing inquiries by the SFO or the FMA.
    We will update investors when there is further information available.

World investor week 2017

World investor week 2017

  • Content Block

What to expect from your financial services provider

What to expect from your financial services provider

  • Content Block

  • Content Block

     

    Do you know what to expect when dealing with a financial services provider? Watch our video to find out.

    Read more >

  •  

    KiwiSaver sales and advice

    This guidance note outlines our view on what advisers or providers of KiwiSaver should talk to investors about, types of advice and the use of customer incentives.

    Read more >

  •  

    A guide to the FMA's view of conduct

    This guide describes why good conduct matters and how high standards of conduct support fair, efficient and transparent markets.  

    Read more >

  •  

    Code of Professional Conduct for AFAs

    The revised Code of Professional Conduct has now been published. See how this impacts you.

    Read more >

 

Latest reports

Latest reports

 

Latest guidance

Latest guidance

  • KS fees

    Fee disclosure by managed funds

    19 July 2017

    We have issued a methodology notice which helps KiwiSaver scheme providers calculate the total fees charged to each investor. 

  • Non-gaap

    Disclosing non-GAAP financial information

    13 July 2017

    This updated guidance note replaces our 2012 guidance note to reflect FMC Act requirements and our findings after reviewing non-GAAP financial information since 2012.

Work for us

Are you ready to join a vibrant and dynamic team that embraces work-life balance, a commitment to employee well-being, and opportunities for learning? Find out more about our organisation  here.

Current Vacancies


https://careers.fma.govt.nz