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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. 14 June 2013

    Home detention for Dominion Finance directors

    Two former directors of Dominion Finance have today been sentenced to home detention after pleading guilty to Securities Act charges laid by the Financial Markets Authority. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  5. 6 September 2010

    Updated Guide for Financial Entities

    The Securities Commission today released an updated edition of its QFE Adviser Business Statement Guide reflecting changes to the Financial Advisers Act.
    Tags
    Media release, News & Insights
    Type
    Page

  8. 9 September 2022

    Imposter website: audaxtrading.net

    The website audaxtrading.net is not a registered Financial Service Provider in New Zealand and is falsely purporting to be associated with New Zealand entity, Audax Trading Limited.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  9. 28 February 2017

    The FMA: What to expect from your financial provider

    The Financial Markets Authority (FMA) has today published a series of pointers for customers to use when they are dealing with financial services providers.
    Tags
    Crowdfunding providers, Derivatives, Roles, Ways to invest, Investing, Media release, Business, Consumer, News & Insights
    Type
    Page

  11. 8 June 2017

    Innovative Securities fails to overturn FSPR ruling

    The High Court has dismissed an appeal by Innovative Securities Limited against the FMA decision to de-register the company from the FSPR. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  12. 11 October 2017

    Bank Bill Benchmark Rate guidance and overview published by FMA

    The Financial Markets Authority (FMA) published today guidance on conduct and expected controls in relation to trading that sets the Bank Bill Benchmark Rate (BKBM) and closing rates. Alongside this, the FMA is also publishing an overview of BKBM and benchmarks, their purpose and how they are regulated.
    Tags
    Banking, Media release, Business, News & Insights
    Type
    Page

  14. 8 September 2014

    FMA talking investment risk for Money Week

    The Financial Markets Authority (FMA) has announced its plans for this year's Money Week from October 13-19 2014. The FMA will be hosting a panel discussion to promote greater understanding of investment risk.
    Tags
    Media release, Consumer, News & Insights
    Type
    Page

  15. 5 December 2013

    FMA releases stakeholder feedback report

    The Financial Markets Authority (FMA) has released the findings of the 2013 FMA stakeholder feedback report.
    Tags
    Media release, News & Insights
    Type
    Page