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  2. 22 December 2023

    CBL Corporation and four independent directors ordered to pay penalties for conduct including reckless and careless breaches of the Financial Markets Conduct Act

    The High Court has ordered CBL Corporation Limited (CBLC) and four of its former directors to pay penalties for continuous disclosure and misleading conduct breaches following proceedings brought by the FMA under the Financial Markets Conduct Act 2013.
    Tags
    Media release, Enforceable undertaking, Powers, Financial Institutions, Business, News & Insights, Enforcement
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  3. 28 November 2016

    FMA releases Audit Quality Monitoring report

    The FMA’s 2016 Audit Quality Report reflects that improvements continue to be made in audit quality. The report shows the sector is increasingly aligned with the expectations of the FMA and international auditing standards and global best practice. However, it also notes that files reviewed still show that further improvement is necessary.
    Tags
    Auditors, Media release, Roles, Business, News & Insights
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  5. 31 August 2022

    Securities Act (Amalgamations)

    Securities Act (Amalgamations) - expired exemption notice
    Tags
    Exemptions, Secondary legislation, Business
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  6. 27 March 2023

    AML/CFT FAQs

    Frequently asked questions answered about AML/CFT and obligations of reporting entities in New Zealand.
    Tags
    AML/CFT, Roles, Business
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  7. 20 October 2022

    Key terms under the CoFI regime

    The Financial Markets (Conduct of Institutions) Amendment Act 2022 has introduced some key terms to describe the framework for regulating the conduct of financial institutions in New Zealand – also known as the CoFI regime. This page lists some of the key terms and their definitions.
    Tags
    Conduct of Financial Institutions Bill (CoFI), Banking, Conduct, Insurance Providers, Financial Institutions, Ways to invest, Investing, Managed Investment Schemes, Roles, Business, Consumer, Managed investment schemes
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  8. 28 November 2013

    FMA announces new Chief Executive

    The Financial Markets Authority (FMA) has appointed Rob Everett as its new Chief Executive, effective 3 February 2014.
    Tags
    Media release, FMA, News & Insights
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  9. 20 March 2020

    FMA COVID-19 Update 20 March 2020

    We are closely monitoring the coronavirus situation and thinking carefully about all necessary actions to ensure customers and investors are protected and markets continue to function well.
    Tags
    COVID-19, News & Insights
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  10. 11 November 2021

    Consultation on expiring class legislative notices

    Throughout 2020 and 2021 we will be consulting on a range of class exemption and other legislative notices that are due to expire before the end of 2022.
    Tags
    Roles, Consultations, Business
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  11. 16 August 2021

    How a family chat might have saved one man from losing $50,000 to an investment scam

    When a band of international scammers launches a sophisticated, multi-person project to fleece you out of your money, your best protection might be closer to home than you think.

    Bill* is in his early 70s, lives in a small provincial town and works in the health sector. He fell victim to an international share trading fraud which all began with an unsolicited phone call from a man in New York, ringing as part of a survey associated with Wall St Journal.
    Tags
    Consumer, Scams
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  13. 20 February 2019

    Smart Investor tool launched to help Kiwis get ahead financially

    Smart Investor enables Kiwis to search and compare New Zealand investments such as KiwiSaver, shares, bonds and other types of managed products for the first time.
    Tags
    Investing, Media release, KiwiSaver & Superannuation, Consumer, News & Insights
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  14. 20 October 2022

    Investments for wholesale and eligible investors

    Wholesale investment offers are aimed at experienced investors, often with large sums of money to invest. Read more about wholesale investors and investments on this page.
    Tags
    Wholesale investing, Ways to invest, Investing, Consumer
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  15. 8 August 2022

    When to contact us and who else may be able to help

    Whilst the FMA is always happy to help, In some situations, there are other Agencies and organisations who are best placed to help. This page has a list of links to other organisations that could be better placed to help based on your needs.
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