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  1. 10 March 2021

    Financial adviser censured for code breaches

    The Financial Advisers Disciplinary Committee (FADC) has censured an Authorised Financial Advisor (AFA) following a case brought by the FMA. Read the decision on breaches and decision on penalty here.
    Tags
    Media release, News & Insights, Enforcement
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  3. 19 March 2021

    James Greig, FMA Director of Supervision, to lead monitoring and supervision of financial advice

    The FMA announced that overall responsibility for monitoring financial advice sits with James Greig, Director of Supervision. He has recently been appointed to the FMA’s Executive Committee and has reported directly to Chief Executive Rob Everett since 2020.
    Tags
    New Financial Advice regime, Media release, FMA executive team, FMA people, Business, FMA, News & Insights
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  4. 16 December 2020

    FMA publishes 2020 annual report

    The Financial Markets Authority (FMA) has today published its annual report for year to June 2020.
    Tags
    COVID-19, FMA stories, Governance, New Financial Advice regime, Media release, Business, FMA, News & Insights
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  5. 10 December 2020

    FMA issues formal warning for market manipulation

    The Financial Markets Authority (FMA) has issued a formal warning to an individual for conduct that was likely to have amounted to market manipulation.
    Tags
    Cases, Compliance, Shares, Ways to invest, Investing, Media release, Business, Consumer, FMA, News & Insights, Enforcement
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    Page

  7. 4 November 2020

    FMA appoints specialist roles in FinTech and Integrated Financial System

    FinTech entrepreneur Binu Paul has been appointed as Specialist Lead, FinTech reporting to Director of Regulation Liam Mason, while Fiona Whyte, who has a banking and regulation background, has been appointed as Specialist Lead, Integrated Financial System and reports to Sarah Vrede, Director of Capital Markets.
    Tags
    Media release, FMA, News & Insights
    Type
    Page

  8. 11 September 2020

    Pegasus Markets and director found guilty of abusing FSPR

    Pegasus Markets Ltd and its New Zealand-based director, Michael REps, have been found guilty of all criminal charges brought by the Financial Markets Authority (FMA). Read the full media release here.
    Tags
    Media release, FMA, News & Insights, Enforcement
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    Page

  9. 24 July 2020

    FMA publishes derivatives issuer Sector Risk Assessment

    A report identifying key risks in the Derivatives Issuer (DI) sector and highlighted future focus areas to improve sector compliance. Firms issuing derivatives to retail customers in New Zealand must be licensed by the FMA. The sector has approximately 23,000 accounts operated by retail customers.
    Tags
    Compliance, Cryptocurrencies, Derivatives, Governance, Regulation, Roles, Ways to invest, Investing, Media release, Business, Consumer, FMA, News & Insights
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  10. 27 August 2020

    FMA appoints new Director of Investment Management

    The Financial Markets Authority (FMA) has strengthened its executive team, appointing Paul Gregory to the newly created role of Director of Investment Management.
    Tags
    Media release, FMA executive team, FMA, News & Insights
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  12. 30 June 2020

    FMA publishes Statement of Intent and Statement of Performance Expectations

    The Financial Markets Authority (FMA) has today released the Statement of Intent (SOI) and Statement of Performance Expectations (SPE). Together the publications set out how the FMA will measure and report on progress against its performance measures and targets. Read both documents and the full media release here.
    Tags
    Media release, FMA, News & Insights
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    Page

  13. 17 June 2020

    FMA statement on director liability and continuous disclosure

    The Financial Markets Authority (FMA) has considered the need for regulatory relief in relation to director liability thresholds, following changes in Australia.
    Tags
    Directors, Roles, Media release, Business, News & Insights
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