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  3. 7 August 2014

    Brian Henry admits market manipulation

    Brian Peter Henry has admitted all of the FMA's allegations that he breached the market manipulation prohibitions in the Securities Markets Act 1988. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  4. 28 January 2022

    New default engagement requirements a cue for all KiwiSaver providers

    Gillian Boyes comments on the new default engagement requirements for all KiwiSaver providers amid the Government default KiwiSaver provider announcements.
    Tags
    FMA stories, Roles, Article, Business, Managed investment schemes, News & Insights
    Type
    Page

  5. 31 July 2023

    Financial Market Infrastructures Standards issued

    Standards for designated Financial Market Infrastructures (FMIs) have been issued by the Reserve Bank of New Zealand (RBNZ) and the Financial Markets Authority (FMA), following two rounds of public consultation.
    Tags
    Media release, Financial market infrastructures, Roles, Business, News & Insights
    Type
    Page

  6. 25 September 2023

    '5 mins with the FMA' podcast #8: KiwiSaver Annual Report - 2023

    In this 5 mins with the FMA episode, we look at the latest KiwiSaver Annual Report, with John Horner, Director of Markets, Investors and Reporting at the FMA.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Podcast

  7. 11 July 2019

    Warning: MBI International/MFC Club

    The FMA has issued a further warning to investors about a Malaysian-based loyalty scheme, MBI International, also trading as MFC Club (MFC Club).
    Tags
    Media release, News & Insights, Scams
    Type
    Page

  8. 15 March 2021

    Start to new licensing regime for financial advice

    The Financial markets Authority (FMA) welcomes the start of the new financial advice regime from 15 March 2021. Under the new regime, anyone who gives regulated financial advice to retail clients must either hold, or operate under, a Financial Advice Provider licence. All providers of financial advice are now subject to the same obligation to place the interests of their clients first and must adhere to a new Code of Conduct.
    Tags
    Licensing & registration, Financial Services Legislation Amendment Act (FSLAA), Media release, Business
    Type
    Page

  9. 22 June 2022

    FMA investor profile - Te Kahukura Boynton

    This month's FMA Investor Profile features Te Kahukura Boynton, (Te Whakatōhea, Ngāti Kahungunu, Ngāi Tūhoe) an 18-year- old Waikato law student on a mission to empower Māori to become financially independent through her investing and self-development platform ‘Māori Millionaire’.
    Tags
    Investor information, Article, Consumer, News & Insights
    Type
    Page

  15. 2 February 2017

    A guide to the FMA's view of conduct

    A guide to FMA's view of conduct guide describes why good conduct matters and how high standards of conduct support fair, efficient and transparent markets. This handbook is intended as a reference for directors, executives and advisers to decide how best to apply the principles for corporate governance to their particular entity.
    Tags
    Derivative Issuer, Conduct, Independent trustee, Financial Advice Provider, Offer disclosure for equity and debt offers, Discretionary investment management scheme (DIMS), Cryptocurrencies, Crowdfunding providers, Authorised body under a FAP, Auditors, Roles, Financial Adviser, Directors, Client money or property services provider, Business, Interposed persons under new financial advice regime, Managed investment schemes, Market operator, Peer-to-peer lending service providers, Supervisor, Nominated representatives
    Type
    Page, Guidance