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  2. 29 June 2016

    NZX Obligations Review 2016

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2016.
    Tags
    Reports and Papers, Market operator, Roles, Monitoring, Business, News & Insights
    Type
    PDF

  5. 29 June 2016

    Replacing life insurance — who benefits?

    The FMA has previously raised concerns about the extent of replacement business in the life insurance industry. In response to these concerns, we initiated a review to determine whether insurance churn exists in the New Zealand market and, if it does, whether it harms consumers. Download the full report on this page.
    Tags
    Reports and Papers, Authorised body under a FAP, Financial Advice Provider, Financial Adviser, Roles, Insurance Providers, Financial Institutions, Business, News & Insights
    Type
    Page

  6. 29 June 2016

    Replacing life insurance - who benefits?

    This 2016 report from the FMA raises concerns about the extent of replacement business in the life insurance industry.
    Tags
    Roles, Financial Institutions, Business
    Type
    PDF, Report

  8. 23 June 2016

    FMA reports on NZX’s regulatory framework

    The Financial Markets Authority has released its latest annual review of NZX and reports that it is meeting its statutory obligations as a market operator and frontline regulator of those markets.
    Tags
    Market operator, Media release, Roles, Business, News & Insights
    Type
    Page

  9. 22 June 2016

    SPGI Director sentenced today

    SPGI director Mark Andrew Turnock has today been sentenced in the Auckland High Court to four months home detention and 200 hours of community work. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  10. 22 June 2016

    Andrew Robinson (SPG and SPGI) and Mark Turnock (SPGI)

    The criminal proceeding brought by FMA relates to allegations of breaches of the FR Act, FA Act and FSPR Act. The Serious Fraud Office has also laid separate charges under the Crimes Act against Mr Robinson. Mr Turnock was charged under the FR Act. Read more.
    Tags
    Cases, Crimes Act, Legislation, Business, Enforcement
    Type
    Page, Financial reporting

  11. 20 June 2016

    Trust Investments Management Limited

    Trust Investments Management Limited, FSP47401, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  13. 15 June 2016

    Richard Francis Niven

    Richard Francis Niven, FSP487626, is a licensed Independent Trustee.
    Tags
    Independent trustee, Licensed entity, Roles, Business
    Type
    Page

  14. 13 June 2016

    Whai Rawa Fund Limited

    Whai Rawa Fund Limited, FSP34563, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  15. 13 June 2016

    FMA approves class exemptions that recognise existing regulation of overseas issuers

    We have approved a series of class exemptions for overseas issuers which allow issuers making offers to New Zealand investors to rely on the disclosure, governance, financial reporting and audit requirements of their overseas jurisdiction where their regulatory standards are equivalent to New Zealand’s.
    Tags
    Regulation updates, Business
    Type
    Page