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  1. 20 February 2023

    The FMA opens consultation on draft guidance for the intermediated distribution of financial products

    FMA is seeking consultation feedback on proposed guidance that covers arrangements where financial institutions distribute products and services through intermediaries.
    Tags
    Media release, Authorised body under a FAP, Banking, Consultations, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Roles, Managed Investment Schemes, Business, Managed investment schemes, News & Insights
    Type
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  2. 20 July 2022

    FMA opens consultation on standard conditions for financial institution licences

    Consultation paper on proposed standard conditions for licences granted under the Financial Markets (Conduct of Institutions) Amendment Act 2022.
    Tags
    Banking, Consultations, Insurance Providers, Media release, Conduct of Financial Institutions Bill (CoFI), Managed Investment Schemes, Roles, Business, Managed investment schemes, News & Insights
    Type
    Page

  4. 4 August 2022

    FMA survey sheds light on New Zealanders’ experiences with financial sector and concepts of fair treatment

    Research from the FMA reveals insights into the mindset and motivations of consumers as they manage their money and deal with financial services firms.
    Tags
    Crowdfunding providers, Directors, Derivative Issuer, Banking, Media release, Insurance Providers, Roles, Discretionary investment management scheme (DIMS), Offer information, Conduct of Financial Institutions Bill (CoFI), Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers, Supervisor
    Type
    Page

  5. 5 April 2022

    Clare Bolingford speech at FSC Connect

    Transcript of speech by FMA's Director of Banking and Insurance, Clare Bollingford, at FSC Connect Panel where she talks about emerging trends in conduct regulation.
    Tags
    Financial Advice Provider, FMA people, Roles, Speeches and presentations , Conduct of Financial Institutions Bill (CoFI), Business, FMA, News & Insights
    Type
    Page

  6. 7 June 2023

    TryTrade – Unregistered business, cold calling

    TryTrade is not registered on New Zealand’s Financial Services Provider Register to provide any financial products or services to New Zealand residents.
    Tags
    Investor warning, Consumer
    Type
    Page

  7. 8 June 2023

    FMA files proceedings against AA Insurance for alleged fair dealing breaches

    FMA has filed civil proceedings against AA Insurance Limited (AAI) for failing to apply multi policy and membership discounts, as well as guaranteed no claims bonuses to eligible customers’ premiums,
    Tags
    Media release, Fair dealing, Cases, Powers, Enforceable undertaking, Court – civil, Insurance Providers, Business, News & Insights, Enforcement
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    Page

  8. 25 May 2023

    Sustainable? Ethical? The substance must back up the claims

    Paul Gregory, Executive Director Response and Enforcement, FMA talks about greenwashing and how misleading or false claims about social or environmental benefits go to the heart of fair dealing, and how the overall impression provided by marketing materials is critical.
    Tags
    Roles, Business, News & Insights, Supervisor
    Type
    Page

  9. 13 December 2021

    Squirrel P2P Trustee Limited

    FMA formally warned Squirrel P2P Trustee Limited for failing to carry out certain obligations as a custodian. The entity provides a custodial service for the peer-to-peer lending service of Squirrel Money Limited.
    Tags
    Formal warning, Powers, Enforcement
    Type
    Page

  10. 1 December 2021

    Medical Kiwi Limited

    Medical Kiwi Limited, a medicinal cannabis company, was admitted to breaching the fair dealing provisions of the Financial Markets Conduct Act.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  11. 13 December 2021

    Jarden Securities Limited

    Jarden Securities Limited was formally censured by the FMA for contraventions by OM Financial Limited as a licensed derivatives issuer.
    Tags
    Censure, Powers, Derivative Issuer, Roles, Business, Enforcement
    Type
    Page

  12. 1 October 2021

    Firma Foreign Exchange Corporation (NZ) Limited

    Firma Foreign Exchange Corporation (NZ) Limited was censured after finding it had materially contravened a number of its obligations as a licensed derivatives issuer.
    Tags
    Censure, Powers, Derivative Issuer, Roles, Business, Enforcement
    Type
    Page

  13. 18 October 2019

    FMA issues AML/CFT warning to Circle Markets Limited

    The Financial Markets Authority (FMA) has issued a formal warning to a non-licensed derivatives issuer and forex provider, Circle Markets Limited, under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT).
    Tags
    AML/CFT, Roles, Media release, Business, News & Insights
    Type
    Page

  14. 5 November 2020

    Carrera Corporation Ltd

    Carrera Corporation Ltd (carreracorporationltd.com) may be operating a scam. It claims to offer investment plans with unrealistically high returns.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  15. 23 July 2019

    Syndicated Trusts Limited

    The Financial Markets Authority (FMA) has issued a Stop Order against Syndicated Trusts Limited (STL), ordering the company to stop advertising or accepting money for financial products. FMA warns New Zealanders to be wary of dealing with the company.
    Tags
    Stop Order, Powers, Enforcement
    Type
    Page