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  1. 15 May 2018

    Second company and director charged over FSPR abuse

    Second company and director charged over FSPR abuse. The company is charged with two counts of breaching section 12 of the FSP Act.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  2. 16 May 2018

    Insurers spend $34 million on soft commissions

    FMA report details how nine life and health insurance companies spent $34 million on non-financial incentives like trips, business support and conferences for financial advisers over a two-year period.
    Tags
    Insurance, Media release, Consumer, News & Insights
    Type
    Page

  4. 30 May 2018

    Financial Services Conduct and Culture Review

    RBNZ and FMA briefed the Finance and Expenditure Select committee on the Australian Royal Commission (RC) into Misconduct in Banking, Superannuation and Financial Services Industry, and the response by regulators in New Zealand.
    Tags
    Conduct, Media release, Business, News & Insights
    Type
    Page

  5. 3 July 2018

    FMA statement on Blackfort/Arena sentencing

    The FMA acknowledges the sentencing today in the Serious Fraud Office’s criminal prosecution of Mr Jimmy McNicholl and Mr Lance Ryan, also known as Lance Jared Thompson. These individuals were prosecuted in relation to a Ponzi scheme in Christchurch that resulted in hundreds of people investing a total of $8.3m.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  6. 18 May 2018

    FMA campaign to connect young women with KiwiSaver

    The FMA has developed a KiwiSaver health checker tool to help people answer four important questions about their account.
    Tags
    KiwiSaver providers, Campaigns, Media release, Roles, Investing, Business, Consumer, Managed investment schemes, News & Insights
    Type
    Page

  7. 16 March 2023

    Tanami Financial Services Limited

    Tanami Financial Services Limited is a DIMS
    Tags
    Reporting entities, Discretionary investment management scheme (DIMS), Roles, Business
    Type
    Page

  8. 18 July 2018

    Customers not the focus of replacement business at large insurers

    The Financial Markets Authority (FMA) is considering regulatory action against three large financial institutions or qualifying financial entities (QFEs) following a review of insurance replacement business practices.
    Tags
    Insurance, Media release, Consumer, News & Insights
    Type
    Page

  11. 22 February 2018

    FMA opens applications for personalised digital advice

    FMA is now open for applications from providers seeking to offer personalised financial advice to consumers through digital tools and platforms (so-called robo-advice).
    Tags
    Media release, Digital advice providers, Business, News & Insights
    Type
    Page

  12. 28 February 2018

    Refreshed corporate governance handbook published

    Corporate Governance handbook refreshed to remove any unnecessary overlap with the NZX Code, particularly to ensure the NZX Code is the primary source for requirements for listed companies.
    Tags
    Directors, Roles, Media release, Business, News & Insights
    Type
    Page

  13. 26 February 2018

    FMA statement on the death of Rob Cameron

    The FMA would like to express its condolences to the family and colleagues of Rob Cameron, who died late last week.
    Tags
    Media release, News & Insights
    Type
    Page

  15. 22 March 2018

    FMA publishes review of adviser conduct in life insurance

    The FMA has issued warnings to four registered financial advisers in relation to providing advice on replacement insurance policies, for breaches of the obligation in section 33 of the Financial Advisers Act 2008 to exercise care, diligence and skill.
    Tags
    Media release, Conduct, Business, News & Insights
    Type
    Page