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Media releases – 204

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30 September 2014

FMA issues warning about General Equity

The Financial Markets Authority (FMA) has issued a warning about General Equity (previously named General Equity Building Society), a New Zealand registered building society.
25 September 2014

FMA releases 2014 Investigations and Enforcement Report

FMA released its Investigations and Enforcement Report for the year ending 30 June 2014.
11 September 2014

Directors fined for not filing financial statements

Directors Hayden George Jones and Thomas Alexander George Jones have been fined $35,000 each for breaches of the Financial Reporting Act 1993. Read more.
8 September 2014

FMA talking investment risk for Money Week

The Financial Markets Authority (FMA) has announced its plans for this year's Money Week from October 13-19 2014. The FMA will be hosting a panel discussion to promote greater understanding of investment risk.
20 August 2014

FMA files civil proceedings against trustee

The FMA has filed civil proceedings against Prince and Partners Trustee Company Limited, using the powers of section 34 of the Financial Markets Authority Act. Prince was the trustee for finance company Viaduct Capital Limited. Read more.
12 August 2014

Strategic Finance settlement proceeds to first distribution

In June this year PwC Partners John Fisk and Colin McCloy, as Receivers of Strategic, together with the Financial Markets Authority, announced they had finalised a $22 million settlement agreement with the former directors and auditors of Strategic.
7 August 2014

Brian Henry admits market manipulation

Brian Peter Henry has admitted all of the FMA's allegations that he breached the market manipulation prohibitions in the Securities Markets Act 1988. Read more.
31 July 2014

FMA issues first equity crowd funding licences

The Financial Markets Authority today issued its first equity crowd funding licences under the Financial Markets Conduct Act 2013.
11 July 2014

Director pays the penalty for failing to file financial statements on time

Ross Anthony Collins, director, is to pay a fine of $30,000 for breaches of the Financial Reporting Act 1993 (FRA). Read more.
8 July 2014

FMA issues New Zealand’s first licence for peer-to-peer lending services

The Financial Markets Authority (FMA) has issued its first peer-to-peer lending service licence. Auckland-based Harmoney is the first provider of this new financial service, under the provisions of the Financial Markets Conduct Act 2013.
4 July 2014

Joint finance company prosecutions promote renewed public confidence and ethical conduct in financial markets

Lawyer, Hugh Edward Staples Hamilton (63), who was found guilty of fraud in relation to the collapse of Belgrave Finance Limited (Belgrave), has been sentenced at the Auckland High Court today to four years and nine months’ imprisonment. read more.
3 July 2014

Consequences for failing to comply with financial statement filing obligations

The Financial Markets Authority (FMA) has filed charges against the directors of eight companies that raise funds from the public, for breaches of the Financial Reporting Act (FRA). Read more.
30 June 2014

FMA publishes annual review of NZX regulatory obligations; 11 agreed actions

The FMA’s report confirms that NZX met its obligations, under the Securities Markets Act 1988, to ensure that its markets were fair, orderly, and transparent. The review covered the period January – December 2013.
18 June 2014

FMA releases guide to help smaller financial adviser businesses with the licensing process for DIMS

Following changes to the regulation of Discretionary Investment Management Services (DIMS) announced Monday 16 June, by Commerce Minister, Craig Foss, the Financial Markets Authority (FMA) has released a guide to help advisers and small businesses who want to apply for a licence to provide DIMS under the Financial Markets Conduct Act
17 June 2014

Regulation of financial services promotes greater choice and boosts productivity

FMA CEO Rob Everett has called on business to support New Zealand’s new regulatory regime - in financial services and in business generally - so that New Zealand enjoys more sustained, stronger economic growth.