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  1. 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
    Type
    Page

  2. 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
    Type
    Page

  3. 24 September 2020

    FMA reports on monitoring of financial services firms and advisers

    A report on the FMA's supervision activities over the past 18 months says large parts of the financial services sector are working hard to meet the FMA’s expectations, but called for further and more widespread improvements to governance and compliance.
    Tags
    Compliance, Derivatives, Directors, Regulation, Regulation updates, Ways to invest, Investing, Roles, Media release, Business, Consumer, News & Insights
    Type
    Page, Guidance

  4. 1 October 2020

    Contributions help KiwiSaver continue to grow through COVID-19

    KiwiSaver has continued to grow despite market volatility and economic uncertainty caused by COVID-19 , according to the Financial Markets Authority’s (FMA) KiwiSaver Annual Report for the year ended March 2020.
    Tags
    Media release, KiwiSaver providers, Roles, Business, Managed investment schemes, News & Insights
    Type
    Page

  6. 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

  7. 19 March 2020

    FMA update on COVID-19

    The Financial Markets Authority (FMA) is closely monitoring the impact of the coronavirus situation on New Zealand’s financial markets and considering all available options to ensure markets continue to function well and to support participants, customers and investors.
    Tags
    COVID-19, FMC Act, New Financial Advice regime, Legislation, Media release, Business, News & Insights
    Type
    Page, Financial reporting

  8. 25 June 2020

    Investor confidence holds up despite COVID-19 market volatility

    Investor confidence has remained steady for the third year running, in spite of the volatility caused by COVID-19, a Financial Markets Authority (FMA) survey has found. Read the summary and full report here.
    Tags
    Directors, New Financial Advice regime, Financial advice, Roles, Media release, Business, Consumer, News & Insights
    Type
    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
    Type
    Page

  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
    Type
    Page

  12. 30 June 2020

    FMA publishes NZX Obligations annual review 2020

    NZX met its statutory obligations as a licensed market operator for the period 1 January to 31 December 2019, according to the Financial Markets Authority (FMA)’s annual review. The NZX General Obligations Review, published by the FMA today, found that NZX complied with its market operator obligations during the review period. Read the full media release and NZX General Obligations Review here.
    Tags
    Shares, Roles, Ways to invest, Investing, Media release, Business, Consumer, Market operator, News & Insights
    Type
    Page

  13. 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
    Type
    Page

  14. 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
    Type
    Page

  15. 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