Back

Search results

Found 2509 results. Displaying page 70 of 168

  1. 25 July 2016

    Consultation paper: Reviews of the Financial Markets Authority funding and the Financial Markets Authority levy

    Consultation paper: Reviews of the Financial Markets Authority funding and the Financial Markets Authority levy. We are seeking views on the proposals to provide class exemptions which provide co-operative companies and industrial and provident societies a lighter path of compliance with the Financial Markets Conduct Act 2013 (FMC Act) when they offer their members shares of minimal value.
    Tags
    Consultations, Business, FMA
    Type
    Page

  2. 25 August 2015

    Consultation paper: Scrip offers in takeovers

    Consultation paper: Scrip offers in takeovers. We are seeking comment on whether there is a need for exemption relief for issuers offering securities as part of a ‘scrip bid’ in a takeover offer. A ‘scrip bid’ is a takeover bid where securities are offered wholly or partly in place of cash.
    Tags
    Offer information, Consultations, Business
    Type
    Page

  3. 15 July 2016

    FMA discontinues proceedings against Archer and HIL

    The Financial Markets Authority (FMA) has elected to discontinue the proceeding against Archer Capital (Pty) Limited (Archer) and Healthcare Industry Limited (HIL). The defendants, Archer and HIL, have accepted that the FMA was justified in investigating the conduct that is the subject of this claim. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  4. 11 April 2017

    Guilty plea in insider trading case

    An individual today pleaded guilty at the Auckland District Court to one charge of insider trading under section 243 Financial Markets Conduct Act - namely, being an information insider advising or encouraging another person to trade. Read more.
    Tags
    Insider trading, Media release, Cases, News & Insights, Enforcement
    Type
    Page

  5. 28 April 2022

    FMA and Irish regulator issue warning about jms-icav.com

    FMA and regulatory bodies in Ireland have issued a warning about JMS-ICAV.
    JMS-ICAV is not a registered financial service provider in New Zealand or licensed by the FMA and is therefore not permitted to provide financial products or services to New Zealand residents. New Zealanders have been unsuccessful removing funds from the entity.
    Tags
    Imposter website, Suspected scam, Unregistered business, Scams
    Type
    Page

  6. 20 October 2021

    Suspected scam involving persons purporting to be from the Financial Markets Authority

    Warning: The Financial Markets Authority (FMA) is aware of an individual cold calling New Zealand residents, purporting to be from Paytrust/Pay Trust and investigating a transaction on behalf of the FMA. The FMA does not make unsolicited outbound calls of this nature to members of the public. The FMA recommends anyone who receives unexpected contact in these circumstances hang up immediately.
    Tags
    Suspected scam, Consumer, Scams
    Type
    Page

  7. 14 December 2021

    Website scam warning for blackwood-investment.com

    WARNING: We are aware that representatives from the blackwood-investment.com website have cold-called New Zealand investors offering fictitious pre-IPO shares. We believe they are impersonating a registered Hong Kong company, Blackwood Investment Limited. blackwood-investment.com is operating a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  8. 9 August 2019

    Strategic Risk Outlook

    Our Strategic Risk Outlook provides our medium-term view (three to five years) of the most significant risks to and opportunities for promoting fair, efficient and transparent financial markets.
    Tags
    Type
    Page, Corporate publications, Strategic Risk outlook

  10. 24 August 2011

    FMA reminds Red Zone homeowners about new advice rules

    The Financial Markets Authority is reminding Canterbury residential Red Zone homeowners seeking financial advice about payout offers to check they're dealing with registered professionals.
    Tags
    Media release, News & Insights
    Type
    Page

  11. 9 March 2017

    FMA files charges for insider trading

    The FMA has filed charges in the Auckland District Court alleging breaches of the insider trading prohibitions contained in the Financial Markets Conduct Act 2013 (FMCA). The charges were filed in relation to trading in shares of Eroad (NZX:ERD). The individuals charged are a current and a former Eroad employee.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  12. 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
    Type
    Page

  13. 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
    Type
    Page

  14. 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

  15. 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