Media releases – 49

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1. Media release

   15 December 2023

   Former financial adviser pleads guilty to further dishonesty offences

   Natalie Ann Carter, a former Hawke’s Bay-based mortgage broker, has pleaded guilty to a further three criminal charges brought against her by the FMA.
2. Media release

   14 December 2023

   FMA censures Go Financial Solutions for breaching its licence obligations

   FMA has has censured Go Financial Solutions Limited for failing to comply with several obligations under its financial advice provider (FAP) licence.
3. Media release

   8 December 2023

   FMA makes permanent stop order against David McEwen and entities associated with him

   The FMA has made a permanent stop order against David Elgar McEwen and entities associated with him (McEwen and Associates).
4. Media release

   5 December 2023

   FMA publishes 2023 annual report

   The FMA today published the FMA annual report for the year to 30 June 2023.
5. Media release

   30 November 2023

   Agreement signed by New Zealand regulator and global standards body to uphold and promote financial market integrity

   The FMA has signed a Consultation Agreement with The Financial Markets Standards Board (FMSB).
6. Media release

   28 November 2023

   FMA cancels Foundation Advice Limited’s financial advice provider licence

   FMA has cancelled Foundation Advice Limited (FAL)’s Financial Advice Provider (FAP) licence. FAL was an Auckland-based FAP offering advice on life and health insurance as well as KiwiSaver.
7. Media release

   27 November 2023

   Medical Assurance Society to pay $2.1 million penalty for making false and misleading representations to customers

   Medical Assurance Society New Zealand Limited (MAS) has been ordered to pay a pecuniary penalty of $2.1 million for making false and/or misleading representations to some customers, following proceedings brought by the Financial Markets Authority (FMA).
8. Media release

   24 November 2023

   FMA finds continuous improvements to audit quality and warns against complacency

   Media release from the FMA announcing release of 2023 Audit Quality Monitoring Report.
9. Media release

   15 November 2023

   FMA opens consultation on fair outcomes for consumers and markets

   FMA has opened consultation on its approach to outcomes focused regulation, including the fair outcomes for consumers and markets it wants to see financial service providers focus on. The FMA welcomes feedback from all its stakeholders. 
10. Media release

    13 November 2023

    FMA encourages New Zealanders to be aware of investment scams

    The FMA is reminding New Zealanders to remain vigilant to investment scams as part of Fraud Awareness Week 2023.
11. Media release

    9 November 2023

    FMA makes interim stop order against David McEwen and entities associated with him

    The FMA has made an interim stop order against David Elgar McEwen and entities associated with him.
12. Media release

    3 November 2023

    FMA acknowledges insider trading sentence

    The individual found guilty of insider conduct in relation to the sale of shares in Pushpay Holdings Limited (NZX:PPH) has been sentenced to six months community detention and must pay a fine of $100,000.
13. Media release

    2 November 2023

    CTRL Investments Limited issued infringement notice for late financial statements

    The FMA has issued an infringement notice to derivatives issuer EC Markets Financial Limited (previously known as CTRL Investments Limited or CTRL) for failing to file financial statements by the due date.
14. Media release

    1 November 2023

    Former financial adviser pleads guilty to dishonesty offences

    The FMA charged a former financial adviser with multiple dishonesty offences following an investigation into her conduct. 
15. Media release

    30 October 2023

    FMA reinforces importance of cyber-resilience for financial service providers

    The FMA is reminding licensed financial service providers about the importance of cyber-resilience as part of Cyber Smart Week 2023.