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  1. 15 December 2022

    ASX 24 review report

    Australian Securities Exchange Limited (ASX 24) is licensed to operate the ASX 24 derivatives market (derivatives market) in New Zealand. We are required to report at least once every two years on how well ASX 24 is meeting its licensed market operator obligations.
    Tags
    Roles, Reports and Papers, Business, Market operator, News & Insights
    Type
    Page, Report

  2. 13 September 2018

    Guide to being an effective director

    The essentials of being an effective director outlines some of the essential behaviours directors should demonstrate to meet legal, regulatory and ethical standards for directors, and tells you where you can go to find out more.
    Tags
    Directors, Roles, Business
    Type
    Page, Guidance

  3. 16 March 2015

    FMA contingency DIMS seminar - PowerPoint presentation

    FMA contingency DIMS seminar - PowerPoint presentation provides more information on: what is a DIMS, types of DIMS and decisions for AFA's currently authorised for DIMS.
    Tags
    Discretionary investment management scheme (DIMS), Roles, Business
    Type
    Page, Guidance

  4. 15 March 2023

    Fake bond offer - esgbonds-nz.com / HSBCnz.com

    NZ residents have been approached by individuals claiming to be from HSBC New Zealand and offering an “HSBC New Zealand ESG Bond” with Fake PDS emailed from the esgbonds-nz.com and hsbcnz.com domains.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  5. 29 March 2023

    FMA issues formal warning to Vanguard

    We have issued a formal warning to Vanguard Investments Australia Limited (Vanguard), for failing to lodge a required notice on the New Zealand Companies Office Disclose Register.
    Tags
    Media release, Enforceable action, Formal warning, Powers, Offer disclosure for equity and debt offers, Roles, Business, News & Insights, Enforcement
    Type
    Page

  6. 30 September 2021

    AML/CFT Monitoring Report

    AML/CFT Monitoring Report summarises the FMA's monitoring activities to help firms and individuals better understand our expectations.
    Tags
    AML/CFT, Compliance, Directors, Roles, Monitoring, Reporting entities, Reports and Papers, Business, News & Insights
    Type
    Page, Report

  7. 13 April 2023

    Fundrock NZ Limited DBG

    Fundrock NZ Limited DBG including: Fundrock NZ Limited and InvestNow Saving and Investment Services Limited
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  8. 24 January 2023

    FMA publishes 2022 annual report

    Our 2022 annual report details a year that encompassed four main areas of focus for the regulator: monitoring and oversight of financial market participants; preparations for new financial markets legislation; building investor capability; and enforcement activity.
    Tags
    Media release, News & Insights
    Type
    Page, Annual report, Corporate publications

  9. 15 February 2023

    FMA finalises regulatory return questionnaire for licensed Financial Advice Providers

    Following consultation on the proposed standard licence conditions for all classes of Financial Advice Providers (FAPs), the Financial Markets Authority (FMA) confirmed the information FAPs must provide in their regulatory returns.
    Tags
    Media release, Authorised body under a FAP, Financial Advice Provider, Roles, Business, News & Insights
    Type
    Page

  11. 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

  12. 15 March 2021

    Guide to Product Disclosure Statements

    FMA guide to product disclosure statements for investors.
    Tags
    Bonds, Derivatives, Managed funds, Shares, Ways to invest, Investing, Article, Consumer, News & Insights
    Type
    Page

  13. 22 June 2022

    FMA investor profile - Te Kahukura Boynton

    This month's FMA Investor Profile features Te Kahukura Boynton, (Te Whakatōhea, Ngāti Kahungunu, Ngāi Tūhoe) an 18-year- old Waikato law student on a mission to empower Māori to become financially independent through her investing and self-development platform ‘Māori Millionaire’.
    Tags
    Investor information, Article, Consumer, News & Insights
    Type
    Page

  14. 20 September 2021

    FMA investor profile - Carren Stuart

    In this month’s FMA investor profile, rest home caregiver Carren Stuart describes her transition from a burnt share buyer in the 1980s into an empowered DIY investing platform user in the 2020s.
    Tags
    FMA stories, Investor information, Article, Consumer, News & Insights
    Type
    Page

  15. 27 October 2021

    FMA investor profile - Imogen O’Neill

    We talk to investor and PR Director, Imogen O’Neill in this FMA Investor Profile.
    Tags
    Investor information, Article, Consumer, News & Insights
    Type
    Page