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  3. 23 January 2015

    Notification of Warning: individual trader – market manipulation

    The Financial Markets Authority has issued a warning to an individual in relation to suspected market manipulation. Following an investigation by the FMA, it concluded that trading by the individual in question has likely breached the Securities Markets Act 1988. Read more.
    Tags
    Market manipulation, Enforcement
    Type
    Page

  4. 19 June 2024

    FMA and XRB issue user guides to help users of climate statements

    The Financial Markets Authority (FMA) and the External Reporting Board (XRB) – have jointly produced a set of guides designed to help people understand the Climate-related Disclosures (CRD) regime
    Tags
    Media release, Ethical investing, Business, Consumer, News & Insights
    Type
    Page

  5. 5 September 2023

    RBNZ and FMA Governance Thematic Review outlines good practices and areas for improvement

    A cross-sector thematic review of regulated entities’ governance practices by the Reserve Bank of New Zealand (RBNZ) and the Financial Markets Authority (FMA) has highlighted the need for boards to be focused on continuous improvement to ensure future success.
    Tags
    Media release, Directors, Insurance Providers, Roles, Conduct, Conduct of Financial Institutions Bill (CoFI), Business, News & Insights
    Type
    Page

  6. 4 December 2023

    ‘5 mins with the FMA’ podcast #10: What is outcomes focused regulation?

    In this special episode of our 5 mins with the FMA podcast, we take a look at outcomes- focused regulation with Liam Mason, FMA Executive Director of Evaluation and Oversight and General Counsel.
    Tags
    Offers of financial products, Auditors, Discretionary Investment Management Services (DIMS), Managed Investment Schemes, Market operator, Supervisors, Climate Reporting Entities, Podcast, Financial Advice Provider, Derivative Issuer, Directors, Cryptocurrencies, Authorised body under a FAP, Conduct, Roles, Business, Interposed persons under new financial advice regime, News & Insights, Peer-to-peer lending service providers
    Type
    Podcast, Page

  7. 30 May 2024

    FMA publishes first monitoring insights report into Financial Advice Providers

    The FMA today published its first monitoring report of the new financial advice regime. The report shows how a range of Financial Advice Providers (FAPs) responded to the obligations and licensing requirements under the new regime introduced during the transitional period in 2021, and fully effective from March 2023.
    Tags
    Media release, Authorised body under a FAP, Financial Advice Provider, Financial Adviser, Roles, Business, News & Insights, Nominated representatives
    Type
    Page

  8. 16 August 2023

    Speech by Clare Bolingford to the Financial Services Council Conference 2023

    Clare Bolingford, FMA Executive Director, Regulatory Delivery. Speech to the Financial Services Council Conference, 16th August 2023.
    Tags
    Speeches and presentations , Conduct, FMA people, Conduct of Financial Institutions Bill (CoFI), Business, FMA, News & Insights
    Type
    Page

  9. 29 August 2023

    FAQs

    This page frequently asked questions about Offers of financial products including: due diligence; kinds of financial offers; Product Disclosure statements (PDS); dual language PDS exemptions; equity offer financial information; debt offers financial information; schedule 1 offers; offers under employee share purchase schemes; small offers and offers of financial products of same class as quoted financial products.
    Tags
    Offer information, Business
    Type
    Page

  10. 28 November 2022

    TupuToa interns – welcome to the FMA

    The FMA has welcomed eight new interns who will be working full-time with us over the university summer break as a part of TupuToa Internship Programme.
    Tags
    FMA people, Article, FMA, News & Insights
    Type
    Page

  11. 27 March 2017

    FMA releases AFA information report

    The Financial Markets Authority today published its third statistical report on Authorised Financial Advisers (AFAs) in New Zealand. The FMA requires AFAs to submit an annual information return each year.
    Tags
    Financial Advice Provider, Media release, Roles, Business, News & Insights
    Type
    Page

  13. 13 November 2020

    FMA monitoring shows steady improvement in quality of listed company audits

    The Financial Markets Authority released its Audit Quality Monitoring Report for 2020. Audit quality has continued to improve, with the overall number of issues discovered by the FMA reducing over time.
    Tags
    Regulation, Media release, Auditors, Roles, Business, News & Insights
    Type
    Page

  15. 5 June 2014

    FMA confirms settlement with Strategic Finance Directors and Auditors

    FMA and the Receivers of Strategic, John Fisk and Colin McCloy of PwC, have finalised a settlement with the directors and auditors of Strategic. Under the terms of the settlement, the directors and auditors will pay to the Receivers of Strategic $22 million. Read more.
    Tags
    Media release, News & Insights
    Type
    Page