Media releases – 10

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1. 8 March 2017

   FMA updates guidance on KiwiSaver sales and advice

   The Financial Markets Authority today released updated guidance on sales and advice for KiwiSaver providers. KiwiSaver is an important part of New Zealanders’ future financial security and for some it is their first and only investment. This makes it critical that KiwiSaver members get the help they need to make good decisions.
2. 28 February 2017

   The FMA: What to expect from your financial provider

   The Financial Markets Authority (FMA) has today published a series of pointers for customers to use when they are dealing with financial services providers.
3. 20 February 2017

   The Financial Markets Authority publishes its first Conduct Outcomes Report

   The Conduct Outcomes Report 2016 highlights the key issues and actions from the FMA’s enforcement, supervision and preventative activities for the financial year July 2015 to June 2016.
4. 15 February 2017

   FMA updates Strategic Risk Outlook and sets course for new era in conduct regulation

   FMA published its updated Strategic Risk Outlook (SRO). This is a foundation FMA document and sets out how the regulator identifies and prioritises the key risks to its overall objective of fair, efficient and transparent markets.
5. 8 February 2017

   FMA warns firms under Anti-Money Laundering and Countering Financing of Terrorism Act

   The Financial Markets Authority (FMA) has issued a formal warning to 12 reporting entities under section 80 of the Anti-Money Laundering and Countering Financing of Terrorism Act (the Act).
6. 8 February 2017

   FMA lays charges under the Crimes Act

   An individual registered financial adviser appeared in the Auckland District Court yesterday in relation to various charges laid by the FMA under the Crimes Act.
7. 2 February 2017

   The FMA’s guide designed to help providers focus on good conduct

   Today the FMA published the final version of the guide into the FMA’s view of conduct. The FMA has also published submissions from industry, considered as part of the consultation process.
8. 13 December 2016

   Consultation complete on FMA’s conduct guide: final document to be published in new year

   Earlier this year the FMA consulted on a guide on good conduct, signalling to New Zealand financial services providers what to expect from interaction and engagement with the conduct regulator.
9. 8 December 2016

   FMA releases AML/CFT monitoring report

   The FMA has today published its third annual AML/CFT monitoring report.
10. 1 December 2016

    The end of the beginning for the new regime in financial services

    A decade in the making, today marks the beginning of a new era in the regulation of New Zealand’s financial markets. The introduction of a stronger regime overseeing financial markets, based on the good conduct of providers, has been in train since before the establishment of the Capital Markets Development Taskforce in 2008.
11. 28 November 2016

    FMA releases Audit Quality Monitoring report

    The FMA’s 2016 Audit Quality Report reflects that improvements continue to be made in audit quality. The report shows the sector is increasingly aligned with the expectations of the FMA and international auditing standards and global best practice. However, it also notes that files reviewed still show that further improvement is necessary.
12. 16 November 2016

    Minister Collins to open Fraud Film Festival

    The inaugural International Fraud Film Festival will be opened by Hon Judith Collins, the Minister responsible for the Serious Fraud Office, on Friday, 18 November at Auckland’s Q Theatre. The festival concludes this year’s Fraud Awareness Week.
13. 15 November 2016

    When strangers call bearing investment gifts: hang up

    Cold calls from strangers about investment opportunities are not only sure-fire losers, but illegal, and the Financial Markets Authority says the best response is the dial tone.
14. 8 November 2016

    FMA issues updated guidance on KiwiSaver advice for consultation

    The FMA is consulting on revised guidance on advice for KiwiSaver sales. The intention of the revised guidance, published today for consultation, is to encourage advisers and financial firms to help New Zealanders make good decisions about KiwiSaver.
15. 4 November 2016

    Minister announces more funding for FMA work

    The FMA has acknowledged the announcement by Commerce and Consumer Affairs Minister Paul Goldsmith of government approval to increase FMA funding. See Ministers announcement here.