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  2. 5 May 2015

    Small DIMS providers benefit from reduced reporting requirements

    The Financial Markets Authority (FMA) has provided smaller businesses that offer a Discretionary Investment Management Service (DIMS) relief from some financial reporting requirements.
    Tags
    Discretionary investment management scheme (DIMS), Media release, Roles, Business, News & Insights
    Type
    Page

  5. 28 January 2021

    FMA releases review of NZX technology issues

    A review of NZX by the Financial Markets Authority (FMA), released today, has found the stock exchange failed to meet its licensed market operator obligations due to insufficient technology resources.
    Tags
    Compliance, FMC Act, Legislation, Roles, Media release, Business, FMA, Market operator, News & Insights
    Type
    Page

  6. 1 July 2021

    Crowdfunding issuers

    This page covers specific obligations of crowdfunding issuers when offers are made of financial products
    Tags
    Crowdfunding providers, Offer disclosure for equity and debt offers, Roles, Business
    Type
    Page

  9. 9 September 2016

    Two simple steps towards a better retirement

    New research has revealed many New Zealanders could be just two simple steps away from a better retirement.
    Tags
    KiwiSaver & Superannuation, Media release, Consumer, News & Insights
    Type
    Page

  10. 2 February 2017

    The FMA’s guide designed to help providers focus on good conduct

    Today the FMA published the final version of the guide into the FMA’s view of conduct. The FMA has also published submissions from industry, considered as part of the consultation process.
    Tags
    Conduct, Media release, Business, News & Insights
    Type
    Page

  11. 15 March 2021

    Guide to Product Disclosure Statements

    FMA guide to product disclosure statements for investors.
    Tags
    Bonds, Derivatives, Managed funds, Shares, Ways to invest, Investing, Article, Consumer, News & Insights
    Type
    Page

  12. 15 April 2019

    FMA files civil proceedings over trading in Oceania Natural

    The FMA has issued civil proceedings in the High Court against four individuals in relation to trading in Oceania Natural Limited. The proceedings relate to alleged breaches of market manipulation prohibitions and the disclosure obligations in the Financial Markets Conduct Act 2013. Read more.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  13. 30 November 2018

    FMA reports on Wynyard investigation

    FMA has published the findings of its investigation into Wynyard Group Limited’s (Wynyard) compliance with continuous disclosure and fair dealing obligations.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  14. 28 February 2018

    Refreshed corporate governance handbook published

    Corporate Governance handbook refreshed to remove any unnecessary overlap with the NZX Code, particularly to ensure the NZX Code is the primary source for requirements for listed companies.
    Tags
    Directors, Roles, Media release, Business, News & Insights
    Type
    Page

  15. 25 May 2015

    Pacific Edge Limited

    FMA issued warning on continuous disclosure obligations and secures $500,000 compensation payment from Pacific Edge Limited.
    Tags
    Settlement, Enforcement
    Type
    Page