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FMA Updates

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  1. 19 May 2016

    FMA Update - 19 May 2016

    Helping businesses adapt to a new regulatory environment I joined the FMA as General Counsel in February and I’m excited to be at the forefront of the continuing evolution of New Zealand’s financial regulatory regime. As General Counsel, I have responsibility for our policy and governance, litigation and enforcement, corporate legal and internal audit teams. These teams contribute to fulfilling the FMA’s objectives and engage with industry in a variety of ways. In readiness for the FMC Act...


  2. 17 March 2016

    FMA Update - 17 March 2016

    Creating confidence in investors – it’s a partnership Confident, capable New Zealand investors are critical to the FMA’s purpose of promoting and facilitating the development of fair, efficient and transparent financial markets. Why? Because unconfident investors lack the ability and the will to actually invest – whatever the quality of markets.  For us, being a capable investor is about knowing what you want to achieve.  It’s also about knowing you have to do your homework before de...


  3. 9 December 2015

    FMA Update - 9 December 2015

    Seasons greetings It is with some surprise that I find myself writing for the FMA’s December Update. Either time is passing more quickly or I am getting old . . . or maybe we are all just busy? As we canter towards the summer break, we have several new people holding the reins at the FMA. The new structure and executive team kicked in on December 1st – with Nick Kynoch arriving as the new General Counsel in late January. I am very much looking forward to...


  4. 11 November 2015

    FMA Update - 11 November 2015

    Generic Content Bringing it all together Garth Stanish, director of the newly formed Capital Markets team, offers a glimpse of how the restructure will improve our support of the financial industry and investors. The FMA has created a new Capital Markets team to make sure we are staying true to our main objective — to promote and encourage fair, efficient and transparent financial markets. To help encourage capital market growth and support market integrity...


  5. 15 October 2015

    FMA Update - 15 October 2015

    Generic Content   'C' is for conduct Yesterday I spoke at the Institute of Financial Professionals New Zealand (INFINZ) annual conference, providing more details on conduct regulation as it applies practically. My slides are attached here. Conduct regulation is new in New Zealand financial services, and we’re seeing a thirst among market participants to understand exactly how it will work. Over the next few months, we plan to provide more detail so f...


  6. 17 September 2015

    FMA Update - 17 September 2015

    Generic Content Market engagement in a changing regulatory landscape John Botica joined the FMA in August 2013. He assumed the chief operating officer’s role, in July this year, which includes leading our market engagement activities. Here he highlights why engagement is important, and how people can get involved. The regulatory landscape has evolved significantly since the FMA was set up four years ago. The new Financial Markets Conduct Act, the biggest p...


  7. 20 August 2015

    FMA Update - 20 August 2015

    Better disclosures, guidance, investor focus and capability building Last month’s message from Liam Mason touched on the importance of improving our understanding of the risk profile of regulated sectors by deepening our supervisory contact with them. Our activities continue to reflect our view of the risks within those sectors. Focus on sale practices, improved disclosures Our review of potential policy churn in the insurance industry reflects our focus on sales practices as shown in earlie...


  8. 21 July 2015

    FMA Update - 21 July 2015

    Helping businesses adapt to the new regulatory regime Recently appointed director of regulation Liam Mason, shares his thoughts. It’s a privilege to be the new director of regulation at the FMA. This is an exciting time to take on a new role, backed by a dedicated and talented team. Across our Auckland and Wellington offices, our priority is to help businesses adapt to the new regulatory regime. We do this through: licensing, exemptions, information, and guidance. This update covers some of...