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  1. 19 January 2023

    FMA publishes fund manager risk assessment report

    The FMA has published its Managed Investment Schemes (MIS) Sector Risk Assessment, which analyses key risks in the funds management industry at a sector level.
    Tags
    Media release, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page

  2. 9 September 2015

    Consultation paper: Proposed FMC Act exemption for offers made through AFAs providing personalised DIMS

    Consultation paper: Proposed FMC Act exemption for offers made through AFAs providing personalised DIMS. The FMA is seeking comment on whether there is a need for exemption relief for offerors who sell financial products through AFAs providing personalised discretionary investment management services (DIMS) under the Financial Advisers Act 2008 (FA Act).
    Tags
    Offer information, FMC Act, Legislation, Discretionary investment management scheme (DIMS), Consultations, Roles, Business
    Type
    Page

  3. 4 May 2023

    Financial Markets Conduct (Sharesies KiwiSaver Scheme) Exemption Notice 2023

    The Notice exempts Sharesies Investment Management Limited (Sharesies) as manager of the Sharesies KiwiSaver Scheme (Scheme), and the self-select fund in the Scheme (self-select fund) from certain provisions of the Financial Markets Conduct Act 2013 (the FMC Act) and the Financial Markets Conduct Regulations 2014 (the FMC Regulations), and the Financial Markets Conduct (Fees) Regulations 2014.
    Tags
    Exemptions, Business
    Type
    Page

  4. 3 February 2014

    Guidance Note: Broker Obligations

    This guidance is aimed at improving compliance with broker conduct obligations and trust accounting obligations in Part 3A of the Act, by setting out how FMA interprets and applies certain parts of Part 3A. The focus of this guidance is on custody of client money and client property, and the key obligation of brokers to hold client money and client property on trust.
    Tags
    Type
    Page, Guidance

  5. 22 September 2020

    FMA prevents CLSA Premium NZ Limited (formerly KVB Kunlun) from offering derivatives to retail investors

    The Financial Markets Authority (FMA) has imposed conditions on the derivatives issuer licence of CLSA Premium New Zealand Limited (CLSAP NZ, formerly KVB Kunlun) that prevent the firm from making an offer to or receiving further funds from, retail investors in relation to derivatives.
    Tags
    Derivatives, Regulation, Ways to invest, Investing, Media release, Business, Consumer, News & Insights, Enforcement
    Type
    Page, Financial reporting

  7. 20 November 2014

    The FMA reports on its 12 month performance

    The Financial Markets Authority (FMA) has published its 2014 annual report for the year ended 30 June 2014. During this period the FMA began implementing the largest statutory change in financial services in 30 years. Engaging with the industry to implement the Financial Markets Conduct Act 2013(FMC Act) was one of six major achievements outlined in the report, as the FMA continued to deliver its ongoing regulatory responsibilities.
    Tags
    Media release, FMA, News & Insights
    Type
    Page, Financial reporting

  9. 3 August 2023

    Enforcement Policy

    Our enforcement policy is intended to guide and inform financial market participants. It is also intended to be a living policy and we may revise it from time to time according to what our objectives and priorities are. It is not exhaustive and is not binding.
    Tags
    Policy, Business, Enforcement
    Type
    Page

  11. 18 September 2020

    FMA files criminal charges in relation to Forestlands

    The Financial Markets Authority has filed criminal charges against an individual in relation to the Forestlands group of companies, for alleged disclosure and financial record keeping breaches.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  12. 9 April 2019

    Former CFO to pay $150,000, barred for Securities Markets Act breaches

    Mr Talbot has admitted to insider trading conduct and entered a guilty plea on a representative charge for a breach of disclosure obligations at Auckland High Court last month. Read more
    Tags
    Cases, Insider trading, Media release, News & Insights, Enforcement
    Type
    Page

  13. 13 December 2019

    Thematic review of MIS custody arrangements

    The thematic review of MIS custody arrangements identified issues around the independence of custody arrangements, and inconsistency of custodial processes, procedures and controls. Read the full report here.
    Tags
    Roles, Reports and Papers, KiwiSaver providers, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page

  14. 30 April 2014

    Survey shows investors look forward to easy-to-follow IPO offer documents

    A New Zealand investor survey conducted on behalf of the Financial Markets Authority and NZX shows there is good support for companies making initial public offerings (IPOs) among those who have invested in recent IPOs.
    Tags
    Media release, Consumer, News & Insights
    Type
    Page

  15. 13 December 2021

    Simplicity DBG

    Simplicity DBG including: SIMPLICITY NZ LIMITED and SIMPLICITY HOME LOANS LIMITED
    Tags
    AML/CFT, Roles, Designated Business Group (DBG), Business
    Type
    Page