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  1. 14 May 2021

    New default KiwiSaver settings designed to benefit members

    The Financial Markets Authority - Te Mana Tātai Hokohoko (FMA) notes the Government’s announcement today regarding new KiwiSaver default provider arrangements, these include new settings that offer a package of benefits for default KiwiSaver members.
    Tags
    Media release, KiwiSaver providers, Roles, Business, Consumer, Managed investment schemes, News & Insights, Supervisor
    Type
    Page

  2. 6 May 2021

    CLSAP (formerly KVB Kunlun) admits to anti-money laundering breaches

    CLSA Premium New Zealand Limited (CLSAP NZ) has admitted to breaches of the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act, following proceedings brought by the Financial Markets Authority – Te Mana Tātai Hokohoko (FMA).
    Tags
    AML/CFT, Derivatives, Roles, Ways to invest, Investing, Media release, Business, Consumer, News & Insights, Enforcement
    Type
    Page

  3. 15 April 2021

    FMA welcomes NZ strategy for financial capability

    The Financial Markets Authority (FMA) has welcomed the release of The National Strategy for Financial Capability, presented in Parliament today by the Minister for Commerce and Consumer Affairs, Dr David Clark.
    Tags
    Media release, Investor capability, FMA, News & Insights
    Type
    Page

  4. 29 July 2021

    FMA releases cyber resilience info sheet for financial advice providers

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko - has today published an information sheet containing principles and resources to help licensed financial advice providers develop their cyber resilience.
    Tags
    Financial Advice Provider, Roles, Media release, Business, News & Insights
    Type
    Page

  5. 28 June 2021

    FMA releases guide for ‘finfluencers’

    The FMA has released a guide to talking about money online following concerns some social media influencers and bloggers may be straying into regulated financial advice.
    Tags
    Media release, Financial advice, Consumer, News & Insights
    Type
    Page

  6. 3 March 2021

    ‘Director for hire’ Michael Reps sentenced for FSPR abuse

    Michael Reps, the New Zealand-based director of Pegasus Markets Limited, has been sentenced to two months community detention and 90 hours community work after criminal charges were brought by the Financial Markets Authority (FMA) for breaches to the Financial Service Providers (Registration and Dispute Resolution) Act (FSP Act).
    Tags
    Cases, Media release, FMA, News & Insights, Enforcement
    Type
    Page

  7. 11 February 2021

    FMA announces senior leadership change

    The Financial Markets Authority (FMA) announced today its General Counsel, Nick Kynoch, had resigned and would leave the regulator in late February to take up a new role as General Counsel for Generate Kiwisaver.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  8. 20 January 2021

    FADC decision published

    The Financial Advisers Disciplinary Committee (FADC) has today published its decision regarding a case brought by the FMA.
    Tags
    Cases, Compliance, Financial advice, Media release, Business, Consumer, News & Insights, Enforcement
    Type
    Page

  9. 20 May 2021

    FMA appoints Liam Mason as General Counsel

    The Financial Markets Authority - Te Mana Tātai Hokohoko (FMA) has appointed Liam Mason as General Counsel.
    Tags
    FMA people, Media release, FMA executive team, FMA, News & Insights
    Type
    Page

  10. 12 February 2021

    ANZ admits breaching FMC Act for misleading representations over credit card insurance charges

    The Auckland High Court has ordered ANZ New Zealand to pay a $280,000 penalty for breaching section 22 of the Financial Markets Conduct Act 2013 (FMCA) in relation to its supply of Credit Card Repayment Insurance (CCRI) to certain bank customers.
    Tags
    Cases, Fair dealing, FMC Act, Legislation, Media release, Business, News & Insights, Enforcement
    Type
    Page

  11. 10 March 2021

    Financial adviser censured for code breaches

    The Financial Advisers Disciplinary Committee (FADC) has censured an Authorised Financial Advisor (AFA) following a case brought by the FMA. Read the decision on breaches and decision on penalty here.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  12. 14 March 2023

    Consultation on proposed exemptions for foreign listed issuers

    Consultation document from the FMA iseeking feedback on the need for, and the content of, proposed exemptions for foreign exempt issuers from climate reporting duties.
    Tags
    Consultations, Climate related disclosure, Business
    Type
    PDF

  13. 13 March 2023

    Market index exemption renewal feedback form

    Feedback form for consultation: FMA is seeking feedback on whether to renew a class exemption for MIS managers where assets do not have an appropriate market index.
    Tags
    Consultations, Roles, Business, Managed investment schemes, Supervisor
    Type
    Word document, Feedback form

  14. 10 December 2020

    FMA issues formal warning for market manipulation

    The Financial Markets Authority (FMA) has issued a formal warning to an individual for conduct that was likely to have amounted to market manipulation.
    Tags
    Cases, Compliance, Shares, Ways to invest, Investing, Media release, Business, Consumer, FMA, News & Insights, Enforcement
    Type
    Page

  15. 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