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  1. 24 May 2013

    Another Dominion Finance director pleads guilty to FMA charges

    A former director of Dominion Finance Group and North South Finance, Robert Barry Whale, has pleaded guilty to seven Securities Act charges of misleading investors in a prosecution taken by the Financial Markets Authority. Read more.
    Tags
    Media release, News & Insights, Enforcement
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    Page

  3. 31 March 2011

    D-day for Financial Advisers

    From 1 April, all financial advisers, or the companies they work for, have to be registered on the online Financial Service Providers Register, www.fspr.govt.nz. Advisers who should be on the register, but aren't risk hefty penalties.
    Tags
    Media release, News & Insights
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  7. 13 March 2015

    Consultation paper: Financial Markets Conduct Act exemptions

    Consultation paper: Financial Markets Conduct Act exemptions. We sought comments on matters we believe should receive support through the FMA’s legislative tools, but for which we have yet to develop policy proposals. Read more here.
    Tags
    FMC Act, Legislation, Consultations, Exemptions, Business
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  8. 16 April 2015

    The FMA completes Memorandum of Understanding with all NZ’s Dispute Resolution Schemes

    FMA has recently signed MOUs with the ISO and the BOS. This follows the completion of MOUs with the FDRS and FSCL last year. The FMA and the dispute resolution schemes already enjoy a cooperative relationship and these MOUs formalise and enhance that collaboration.
    Tags
    Media release, Governance, Business, FMA, News & Insights
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  9. 26 May 2015

    Annual review shows NZX meeting regulatory obligations

    The Financial Markets Authority (FMA) today confirmed that NZX has complied with its statutory obligations to ensure that its markets are fair, orderly, and transparent.
    Tags
    Market operator, Roles, Business
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  10. 3 September 2015

    Consultation paper: Proposed amendments to the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012

    Consultation paper: Proposed amendments to the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012. This paper seeks to gather views from business professionals involved in auditing on the proposed amendments to the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012.
    Tags
    Auditors, Consultations, Roles, Business
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  11. 22 June 2016

    SPGI Director sentenced today

    SPGI director Mark Andrew Turnock has today been sentenced in the Auckland High Court to four months home detention and 200 hours of community work. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
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  13. 9 June 2017

    FMA files charges under Crimes Act

    Robert Ian South and Murray Byron Provan appeared in the Tauranga District Court in relation to various charges filed by the FMA under the Crimes Act. Read more.
    Tags
    Cases, Media release, News & Insights, Enforcement
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