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  1. 13 June 2013

    Charges laid today against David Ross

    Charges laid in the Wellington District Court against David Robert Gilmour Ross. The charges laid by the Serious Fraud Office (SFO) allege he operated a $400 million Ponzi scheme. They follow a joint agency investigation between SFO and the FMA. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  2. 5 April 2012

    FMA publishes revised draft guidance on effective disclosure

    The Financial Markets Authority has published their revised draft guidance note for issuers, directors and advisers on preparation of effective disclosure documents.
    Tags
    Media release, News & Insights
    Type
    Page, Guidance

  3. 25 August 2011

    FMA begins adviser monitoring visits

    FMA will next week begin making visits to Authorised Financial Advisers (AFAs) as it steps up its monitoring activities under the Financial Advisers Act.

    Tags
    Media release, News & Insights
    Type
    Page

  5. 3 September 2010

    New Designated Settlement System

    The Reserve Bank of New Zealand and the Securities Commission today announced that the newly established NZCDC Settlement System has been declared a designated settlement system under Part 5C of the Reserve Bank of New Zealand Act.
    Tags
    Media release, News & Insights
    Type
    Page

  9. 1 September 2015

    KiwiSaver and beyond – turning a lump sum into a smooth income

    A survey of New Zealanders approaching retirement has found one in four people are unsure of how to manage the money in their KiwiSaver funds when they reach 65.
    Tags
    KiwiSaver & Superannuation, Media release, KiwiSaver providers, Managed investment schemes, Roles, Business, Consumer, News & Insights
    Type
    Page, Guidance

  10. 10 October 2016

    The FMA releases 2016 Annual Report

    The Financial Markets Authority (FMA) 2016 annual report highlights the fact the FMA has now moved from transition mode to establishing itself as a fully-fledged conduct regulator.
    Tags
    Governance, Media release, FMA, News & Insights
    Type
    Page

  11. 1 May 2017

    Forestlands – update for investors

    FMA had ongoing inquiries into the Forestlands companies. We have referred some matters to the Serious Fraud Office. We will continue to complete our inquiries in relation to financial markets issues. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  12. 11 October 2017

    FMA files insider trading charges

    The FMA has filed criminal charges against an individual in the Auckland District Court alleging insider trading in contravention of the Securities Markets Act 1988. Read more.
    Tags
    Insider trading, Media release, Cases, News & Insights, Enforcement
    Type
    Page

  13. 29 July 2015

    Fiona Mary Judd

    Fiona Mary Judd, FSP31602, is licensed to provide Discretionary Investment Management Services (DIMS).
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page

  14. 1 December 2015

    Pacific Wealth Creators Limited

    Pacific Wealth Creators Limited, FSP48786, is licensed to provide Discretionary Investment Management Services (DIMS).
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page

  15. 23 November 2015

    Victor Alan Langford

    Victor Alan Langford, FSP459926, is a licensed Independent Trustee.
    Tags
    Independent trustee, Licensed entity, Roles, Business
    Type
    Page