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Found 2136 results. Displaying page 53 of 143

  1. 10 October 2019

    KiwiSaver providers respond on member engagement but little movement on fees

    The Financial Market Authority (FMA) has published its annual KiwiSaver report for the year to the end of March 2019, showing a welcome increase in default member engagement, but few signs of a reduction in fees.
    Tags
    Media release, KiwiSaver providers, Roles, Business, Managed investment schemes, News & Insights
    Type
    Page

  3. 25 June 2015

    David Ross and Ross Asset Management Limited

    The criminal proceeding brought against Mr Ross by FMA relates to allegations of breaches of the Financial Markets Act, Financial Advisers Act and Financial Service Providers Act. Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  4. 15 March 2021

    Working with a financial adviser

    Learn what it's like working with an adviser. All advisers must follow the new Code of professional conduct for Financial Advice Services. The code says an adviser must: treat clients fairly, act with integrity,
    have competence, knowledge, and skill, give suitable advice, and ensure it’s understood properly. They must also protect client information.
    Tags
    Financial advice, Get advice, Investing, Consumer
    Type
    Page

  5. 5 October 2020

    Mary Holm’s introductory guide to investing

    Hits and Myths is an introductory guide to investing written by Mary Holm for the FMA. In this booklet she sets the record straight on eight common myths about investing. It’s a quick guide for anyone who’s thinking about or already dabbling in investing – and wants to know more.
    Tags
    Investing, Investment basics, Investing guides, Consumer
    Type
    Page
    • Suspected scam

    13 May 2024

    Fake Celebrity Investment Scam – Multiple trading platforms

    The FMA has received several reports regarding fake celebrity or fake influencer endorsement advertisements on social media, promoting online investment schemes.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  7. 14 May 2014

    FMA seeks comments on proposed class exemption to apply to initial public offers

    Consultation paper: FMA seeks comments on proposed class exemption to apply to initial public offers. The Financial Markets Authority (FMA) is planning to consult on a proposed class exemption for firms making initial public offers (IPOs). Read more.
    Tags
    Offer information, Consultations, Exemptions, Business
    Type
    Page

  8. 6 March 2014

    Contributory mortgage broker pleads guilty

    Prudential Mortgage Limited, a contributory mortgage broking firm, has been convicted and fined $2,000 for failing to deliver its annual report to the Registrar of Companies by 30 June 2013. Prudential pleaded guilty to the charge laid by the FMA. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page, Financial reporting

  10. 14 May 2014

    FMA seeks comments on proposed class exemption to apply to initial public offers

    Consultation paper: FMA seeks comments on proposed class exemption to apply to initial public offers. The Financial Markets Authority (FMA) is planning to consult on a proposed class exemption for firms making initial public offers (IPOs). Read more.
    Tags
    Offer information, Consultations, Exemptions, Business
    Type
    Page

  11. 19 May 2011

    Bernard Whimp and associated limited partnerships

    Mr Whimp, and six of the Limited Partnerships made offers to purchase shares in a number of public companies in the form of “Deferred Payment” Offers which were said to be misleading and deceptive, in breach of s 13 of the Securities Markets Act 1988. Read more.
    Tags
    Enforcement
    Type
    Page

  12. 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
    Type
    Page

  13. 17 December 2018

    Explaining fees and products key for consumers

    We have released survey into consumers’ experience of providers’ conduct. The survey found that New Zealanders are relatively satisfied with their financial providers, with consumers feeling they are treated fairly (70%), and with respect (72%).
    Tags
    Media release, Consumer, News & Insights
    Type
    Page

  15. 31 July 2017

    Mark Warminger

    The FMA has issued civil proceedings seeking pecuniary penalties against Mr Warminger for trading carried out between January and August 2014. The FMA alleges that MR Warminger’s conduct amounted to market manipulation in breach of s11B of the Securities Markets Act 1988.
    Tags
    Enforcement
    Type
    Page