Media releases – 10

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1. 24 May 2017

   Licensing overview: what the FMA found and what firms need to know

   Common issues, hints for new applicants and a guide to the Financial Markets Authority’s (FMA) future focus are included in a review of the regulator’s first two and a half years of licensing.
2. 18 May 2017

   Former financial adviser pleads guilty to four charges under Crimes Act

   Anthony Wilson, a former Registered Financial Adviser pleaded guilty at the Auckland District Court to two charges of making a false document for pecuniary advantage. The charges were filed by the Financial Markets Authority (FMA) under the Crimes Act. Read more.
3. 15 May 2017

   Changes for investment companies offering shares to protect investors

   Investors will benefit from greater protection due to a change in the way the Financial Markets Authority (FMA) will treat certain companies offering shares.
4. 10 May 2017

   Media Statement on NZX updated code of corporate governance

   The FMA welcomes the publication of NZX’s updated Corporate Governance Code.
5. 9 May 2017

   IMF NZ FSAP Assessment 2017

   The FMA welcomes the publication of the International Monetary Fund’s Financial System Stability Assessment (FSSA) for New Zealand.
6. 5 May 2017

   KiwiSaver trial to target decision-making a decade out from retirement

   The FMA is working with ANZ to see if behavioural insights can prompt more ANZ KiwiSaver members to get retirement advice, or use retirement-planning tools when they hit 56 years old.
7. 1 May 2017

   Forestlands – update for investors

   FMA had ongoing inquiries into the Forestlands companies. We have referred some matters to the Serious Fraud Office. We will continue to complete our inquiries in relation to financial markets issues. Read more.
8. 11 April 2017

   Consultation on KiwiSaver fees methodology

   KiwiSaver members will be able to see the dollar cost of the fees they are paying in their annual statements next year. The Ministry of Business and Innovation and Employment (MBiE) is currently amending the Financial Markets Conduct Regulations so that individual members’ total fees must be disclosed in annual statements in dollar values, from March 2018.
9. 11 April 2017

   Guilty plea in insider trading case

   An individual today pleaded guilty at the Auckland District Court to one charge of insider trading under section 243 Financial Markets Conduct Act - namely, being an information insider advising or encouraging another person to trade. Read more.
10. 5 April 2017

    Wise-up about retirement now, so you can relax and enjoy it later

    The FMA commissioned Colmar Brunton to survey New Zealanders aged between 60 and 74 years, to find out their experiences of retirement and how information or advice has helped them manage their retirement savings.
11. 3 April 2017

    FMA confirms short-term derivatives to be licensed

    The Financial Markets Authority has today confirmed that businesses selling short-duration derivatives need to be licensed. The Financial Markets Conduct Act introduced licensing for derivatives issuers in December 2014.
12. 27 March 2017

    FMA releases AFA information report

    The Financial Markets Authority today published its third statistical report on Authorised Financial Advisers (AFAs) in New Zealand. The FMA requires AFAs to submit an annual information return each year.
13. 22 March 2017

    FMA Statement on Forestlands

    FMA identified $18 million which Forestlands say is to be paid to all its investors. That money has been placed in a trust account after our discussion with a Forestlands director. Read more.
14. 16 March 2017

    FMA files charges under the Financial Service Providers (Registration and Dispute Resolution) Act

    The FMA has filed charges against Garry James Patterson in the Christchurch District Court. The FMA alleges Mr Patterson was, or was holding out as being, in the business of providing financial services in contravention of the FSP Act. Read more.
15. 9 March 2017

    FMA files charges for insider trading

    The FMA has filed charges in the Auckland District Court alleging breaches of the insider trading prohibitions contained in the Financial Markets Conduct Act 2013 (FMCA). The charges were filed in relation to trading in shares of Eroad (NZX:ERD). The individuals charged are a current and a former Eroad employee.