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  2. 4 November 2019

    FMA successfully defends FSPR appeal by FXBTG Financial Limited

    The Financial Markets Authority (FMA) has welcomed a High Court ruling upholding a direction by the FMA to de-register foreign exchange firm FXBTG Financial Limited.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  3. 4 September 2019

    FMA cancels Barry Kloogh’s financial adviser authorisation

    The Financial Markets Authority (FMA) has cancelled the authorisation of Dunedin-based Mr Barry Edward Kloogh to act as a financial adviser, as a result of concerns regarding compliance with his broker obligations under the Financial Advisers Act 2008.
    Tags
    Financial advice, Compliance, Media release, Business, Consumer, News & Insights, Enforcement
    Type
    Page

  4. 27 August 2019

    Bay of Plenty women urged to take financial investing power into their own hands

    There is a large investing gap in New Zealand between men and women. As Mary Holm, one of New Zealand’s most trusted money experts says, “In many ways women are better investors than men. So how come we often end up with lower savings?”
    Tags
    Media release, Investing, Consumer, News & Insights
    Type
    Page

  5. 12 March 2019

    Expiry dates on all Financial Markets Conduct Act licences to be removed

    The Financial Markets Authority (FMA) is to remove the expiry dates for all licences issued under the Financial Markets Conduct Act 2013 in a process expected to be complete by the middle of 2019. Read more here.
    Tags
    FMC Act, Media release, Legislation, Business, News & Insights
    Type
    Page

  6. 13 February 2015

    Action against non-filing of financial statements pays off

    A new report released today by FMA shows the proportion of companies filing their financial statements on time has improved significantly since the FMA’s initial review in 2014.
    Tags
    Media release, News & Insights
    Type
    Page

  7. 1 March 2011

    Good character and criminal convictions: Financial Advisers Act 2008

    Good character and criminal convictions: Financial Advisers Act 2008 guide is intended to answer some of the queries the Commission has received regarding the assessment of good character, as well as provide further guidance on the information applicants need to provide to the Commission in relation to criminal convictions.
    Tags
    Financial Adviser, Roles, Business
    Type
    Page, Guidance

  9. 10 May 2023

    FMA censures Aurora Financial Group Limited for misleading clients

    FMA has censured Aurora Financial Group Limited (Aurora Financial) for misleading existing and potential clients about KiwiSaver returns.
    Tags
    Media release, Financial Advice Provider, Financial Adviser, Censure, Roles, Powers, Business, News & Insights, Enforcement
    Type
    Page

  15. 3 November 2020

    Financial Markets Conduct (Sharesies Limited) Exemption Notice 2020

    The Financial Markets Conduct (Sharesies Limited) Exemption Notice 2020 exempts Sharesies Limited and Sharesies Group Limited in relation to an offer of shares in Sharesies Group Limited to shareholders of Sharesies Limited under a proposed scheme of arrangement pursuant to Part 15 of the Companies Act 1993.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page