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Media releases – 10

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16 August 2019

FMA Statement on Court of Appeal judgment in Viaduct Capital and Mutual Finance

The FMA notes the judgment from the Court of Appeal, setting aside of some of the convictions, and the associated reduction of a sentence, in relation to Mr Paul Bublitz and Mr Bruce McKay.
14 August 2019

New vision for Council of Financial Regulators

The Council of Financial Regulators (CoFR) has announced a new vision for New Zealand’s economic wellbeing and has welcomed the addition of the Commerce Commission to the forum.
9 August 2019

21 charges filed by FMA against man who convinced members of the public to ‘invest’ with him

The Financial Markets Authority has charged a man who convinced members of the public to ‘invest’ with him with offences under the Crimes Act and the FMA Act at the Manukau District Court.
6 August 2019

Westpac refunding $7 million to affected customers for incorrect fees

The Financial Markets Authority (FMA) and Commerce Commission have formally agreed with Westpac the steps the bank must take to refund fees to some 93,000 customers being overcharged $7 million.
1 August 2019

FMA suspends AxiCorp derivatives licence

The Financial Markets Authority (FMA) has suspended the derivatives issuer licence of AxiCorp Financial Services Pty Limited (trading as AxiTrader) for material breaches of the Financial Markets Conduct Act 2013. Read more.
26 July 2019

New Zealand launches ‘investment passport’

Kiwi investors and managed funds will now be able to do business more easily with Australia, Japan and Thailand, after New Zealand’s implementation of the Asia Region Funds Passport (ARFP).
25 July 2019

FMA confirms date for transitional licensing applications

The Financial Markets Authority (FMA) today announced it will start accepting transitional licence applications from 4 November 2019. Anyone providing financial advice to retail clients from June 2020 (the start of the new regime) will need to operate under a Financial Advice Provider Transitional Licence. Advisers can either get their own licence or work on behalf of someone else who holds a licence.
24 July 2019

Investor confidence stable and improving over time

Confidence in New Zealand’s financial markets has remained stable over the past two years, despite volatile global markets and a focus on the culture and conduct of major financial institutions in Australia and New Zealand.
23 July 2019

FMA sets out key focus areas for the year ahead

The FMA published its Annual Corporate Plan (ACP), which outlines its work plan for the next financial year and sets objectives for raising standards of behaviour across financial services.
23 July 2019

FMA issues Stop Order against Syndicated Trusts Limited

The Financial Markets Authority (FMA) has issued a Stop Order against Syndicated Trusts Limited (STL), ordering the company to stop advertising or accepting money for financial products.
18 July 2019

Interim liquidators appointed to Barry Kloogh’s companies

The FMA has confirmed interim liquidators have been appointed to Financial Planning Limited (FPL) and Impact Enterprises Limited (IEL).
12 July 2019

FMA comments on Ross Asset Management investor proceedings

The Financial Markets Authority (FMA) said today’s filing of proceedings on behalf of eligible investors in Ross Asset Management marked the end of a long battle to enable the FMA to engage with investors so they could determine whether to bring a claim against ANZ.
11 July 2019

Warning: MBI International/MFC Club

The FMA has issued a further warning to investors about a Malaysian-based loyalty scheme, MBI International, also trading as MFC Club (MFC Club).
27 June 2019

FMA annual review of NZX published

The Financial Markets Authority (FMA) has published its annual review of whether NZX met its statutory obligations as a licensed market operator.
24 June 2019

Banks commit to removing sales incentives for frontline staff

FMA Chief Executive Rob Everett and Reserve Bank Governor Adrian Orr said all banks had now committed to remove sales incentives for frontline staff and their managers. Read more.