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  1. 11 September 2014

    Directors fined for not filing financial statements

    Directors Hayden George Jones and Thomas Alexander George Jones have been fined $35,000 each for breaches of the Financial Reporting Act 1993. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  2. 6 June 2019

    Morgan DeVere fined $40,000 in first FMA case of company abuse of the FSPR

    Morgan DeVere Corporate Finance Limited (Morgan DeVere) has been fined $40,000 following its conviction at the Wellington District Court on two charges of breaching the Financial Services Providers (Registration and Dispute Resolution) Act 2008 (FSP Act). Read more.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  4. 16 April 2019

    Director sentenced to community service for abuse of FSPR

    A New Zealand-based director of Morgan DeVere Corporate Finance Limited has been sentenced to 75 hours of community service for breaching the Financial Service Providers (Registration and Dispute Resolution) Act 2008. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  5. 3 May 2019

    Company convicted for abuse of the FSPR

    Morgan DeVere Corporate Finance Limited (Morgan DeVere) has been convicted at the Wellington District Court on two counts of breaching the Financial Services Providers Act 2008 (FSP Act) for falsely claiming it was registered on the Financial Services Providers Register (FSPR). A copy of the judgment can be found here. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  6. 12 August 2014

    Strategic Finance settlement proceeds to first distribution

    In June this year PwC Partners John Fisk and Colin McCloy, as Receivers of Strategic, together with the Financial Markets Authority, announced they had finalised a $22 million settlement agreement with the former directors and auditors of Strategic.
    Tags
    Media release, News & Insights
    Type
    Page

  7. 5 May 2015

    Small DIMS providers benefit from reduced reporting requirements

    The Financial Markets Authority (FMA) has provided smaller businesses that offer a Discretionary Investment Management Service (DIMS) relief from some financial reporting requirements.
    Tags
    Discretionary investment management scheme (DIMS), Media release, Roles, Business, News & Insights
    Type
    Page

  8. 24 June 2019

    Banks commit to removing sales incentives for frontline staff

    FMA Chief Executive Rob Everett and Reserve Bank Governor Adrian Orr said all banks had now committed to remove sales incentives for frontline staff and their managers. Read more.
    Tags
    Banking, Media release, Business, News & Insights
    Type
    Page

  9. 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

  10. 27 September 2017

    Substantial product holder disclosures guidance

    This guidance is for anyone who has a substantial holding in a listed issuer; Fund management firms and their employees. It aims to assist substantial product holders in understanding their obligations and help to promote consistency in disclosures.
    Tags
    Derivative Issuer, Roles, Business, Managed investment schemes
    Type
    PDF, Guidance

  11. 5 September 2023

    Governance Thematic Review FMA and RBNZ

    This publication reports on the findings from a joint review of 29 entities across the banking, insurance, non-bank deposit taking and investment management sectors to assist boards to meet their obligations and help drive good governance outcomes.
    Tags
    Directors, Banking, Conduct, Reports and Papers, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Roles, Business, News & Insights
    Type
    PDF

  13. 31 July 2015

    FMA files civil proceedings against portfolio manager for alleged market manipulation

    The Financial Markets Authority (FMA) has issued civil proceedings in the High Court seeking pecuniary penalties against Mr Mark Warminger for trading carried out while employed by Milford Asset Management Limited (Milford). The trading occurred between December 2013 and August 2014.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  14. 15 November 2017

    Outcome of FMA investigation into Goldman Sachs NZ Ltd

    The Financial Markets Authority (FMA) has concluded an investigation into certain trading activity by Goldman Sachs New Zealand LTD (GS). The GS investigation was prompted by concerns arising from an investigation into trading by Mark Warminger and Milford Asset Management. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  15. 26 June 2015

    Calculation of returns for DIMS providers

    The Calculation of returns for DIMS providers information sheet outlines what methodology we expect providers of Discretionary Investment Management Services (DIMS) licensed under the Financial Markets Conduct Act 2013 (Act) (DIMS licensees) to use when calculating returns required by the Financial Markets Conduct Regulations 2014 (Regulations).
    Tags
    Discretionary investment management scheme (DIMS), Roles, Business
    Type
    Page, Guidance, Information Sheet