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  1. 8 June 2020

    Court of Appeal rejects sentence appeal by PTT’s Steven Robertson

    The Financial Markets Authority (FMA) has welcomed the Court of Appeal’s decision to dismiss a sentence appeal by Steven Robertson, who defrauded victims of $2.1 million through PTT Limited.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  2. 1 April 2014

    FMA's new role as regulator of conduct

    FMA's new role as regulator of conduct information sheet talks to the FMA replacing the Commerce Commission as the primary regulator of conduct in relation to financial products and services from 1 April 2014.
    Tags
    FMC Act, Legislation, Business, FMA
    Type
    Page, Guidance

  3. 26 January 2021

    ASX 24 derivatives market review released

    The Financial Markets Authority (FMA) has published the findings of its obligations review of the ASX 24 derivatives market for the period of 1 July 2018 to 30 June 2020.
    Tags
    Compliance, Derivatives, Ways to invest, Investing, Roles, Media release, Business, Consumer, Market operator, News & Insights
    Type
    Page

  4. 29 May 2013

    Report on hybrid financial instrument disclosures

    We reviewed the accounting classification and disclosure of financial instruments classified as hybrid instruments listed on the NZX debt market, as at 1 December 2012. This report outlines our findings and recommendations.
    Tags
    Roles, Reports and Papers, Offer disclosure for equity and debt offers, Business, Market operator, News & Insights
    Type
    Page, Report

  5. 8 April 2024

    FMA introduces new standard condition on business continuity and technology systems plus new process for reporting operational incidents

    The FMA is introducing a new standard condition for certain market licence holders following consultation. The new licence condition will focus on business continuity and technology systems. The new condition will come into effect on 1 July 2024.
    Tags
    Media release, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Standard conditions, Roles, Licensing & registration, Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers
    Type
    Page

  7. 13 July 2012

    Robert Ross and Ross Investments (Aust) Pty Limited

    Ross Investments (Aust) Pty Limited and Robert Ross entered into an enforceable undertaking to include FMA statement in unsolicited offer documents made before 1 December 2012. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  8. 17 May 2024

    New AML/CFT regulations – joint statement by AML/CFT Supervisors on supervisory approach

    The Department of Internal Affairs, the Financial Markets Authority and the Reserve Bank of New Zealand (‘the Supervisors’) welcome the changes to AML/CFT requirements as a result of the various Amendment Regulations coming into force on 1 June 2024.
    Tags
    AML/CFT, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), News, Roles, Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers
    Type
    Page, Guidance

  10. 1 December 2019

    Financial Markets Conduct (Disclosure of Relevant Interests by Directors & Senior Managers) Exemption Notice 2019

    The Financial Markets Conduct (Disclosure of Relevant Interests by Directors and Senior Managers) Exemption Notice 2019 continues the relief granted in the Financial Markets Conduct (Disclosure of Relevant Interests by Directors and Senior Managers) Exemption Notice 2014, which is revoked at the close of 30 November 2019.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  11. 8 February 2018

    ABC123 Group

    ABC123 Group is holding out it is registered on the FSPR when it is not and they may be offering derivatives to New Zealand retail clients without holding a derivatives licence under the FMC Act.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  15. 1 July 2013

    FMA releases Investigations and Enforcement Report 2013

    The Financial Markets Authority (FMA) has released its Investigations and Enforcement Report on the key issues and themes arising in the last 12 months.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page