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  1. 30 June 2023

    Offers under the FMC Act

    Anyone offering financial products for issue or sale needs to comply with financial markets legislation. The Financial Markets Conduct Act 2013 (FMC Act) defines these people as issuers. See more on how they are defined and other disclosure requirements.
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  2. 9 July 2021

    FMA concludes inquiries into Fonterra’s 2019 financial statements and complaints relating to valuations of Beingmate and China Farms

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko - has closed its inquiries that followed Fonterra’s 2019 financial statements market announcement. The FMA did not find evidence to support regulatory action, including litigation, under the Financial Markets Conduct Act.
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    Cases, Auditors, Directors, Roles, Media release, Business, News & Insights, Enforcement
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  5. 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.
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    Media release, Consumer, News & Insights
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  6. 21 December 2011

    Stock & Share Trading Company Pty Ltd

    FMA asked Stock & Share Trading Company Pty Ltd for an enforceable undertaking and issued warning disclosure order to include FMA warning letter with any unsolicited offer they make to ensure investors make an informed decision. Read more.
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    Enforceable undertaking, Powers, Enforcement
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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.
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    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. 6 July 2016

    KiwiSaver annual statements are being read but not acted upon

    The Financial Markets Authority has released the results of a survey conducted in May this year, to coincide with the time when most KiwiSaver investors are receiving their annual statements. The survey was responded to by 1,313 KiwiSaver investors, two thirds of the total sample.
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    KiwiSaver providers, Media release, Managed investment schemes, Roles, Business, News & Insights
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  9. 14 September 2011

    FMA update on finance company investigations

    The Financial Markets Authority announced that investigations into 16 collapsed finance companies involving an estimated $3.45 billion of losses to investors were continuing, with decisions on the most advanced cases likely before the end of 2011. Read more.
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    Media release, Cases, News & Insights, Enforcement
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  10. 27 November 2017

    FMA publishes first peer-to-peer/crowdfunding statistical returns

    The Financial Markets Authority (FMA) today published its first statistical report on peer-to-peer lending and crowdfunding in New Zealand.
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    Crowdfunding providers, Media release, Roles, Business, News & Insights, Peer-to-peer lending service providers
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  11. 6 May 2010

    Stock & Share Trading Company Pty Limited

    FMA cautioned investors to be wary of unsolicited offers being made by Stock & Share Trading Company Pty Limited for shares and other securities. Stock & Share's offers are often significantly less than the market value of the securities. Read more.
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  14. 19 November 2015

    Financial Markets Conduct Regulations amended

    While the Financial Markets Conduct Regulations 2014 (FMC Regulations) covered the detail necessary for the Financial Markets Conduct Act 2013 (FMC Act) to come into force on 1 December 2014, the size and complexity of the reforms meant the Government needed to defer some non-urgent matters.
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    Regulation updates, FMC Act, Legislation, Business
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