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  2. 16 August 2018

    KiwiSaver Statements Report June 2018

    The report details the principal matters transacted under the Act during the year ended 30 June 2018, and contains the
    sixth annual summary of the statistical returns, required to be lodged by KiwiSaver schemes under section 125 of the Act.
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF, Report

  3. 17 November 2022

    Supervisor licence Anchorage Trustee Services Limited

    This is to certify that Anchorage Trustee Services Limited FSP 146324 is licensed under section 16(1) of the Financial markets Supervisors Act 2011 to act as a statutory supervisor in respect of any retirement village. Licence effective from 17 November 2022 and expires on 16 November 2027
    Tags
    Licence, Roles, Licensing & registration, Business, Supervisor
    Type
    PDF

  4. 30 November 2022

    Fair Conduct Programmes information sheet

    This information sheet provides information and examples to help entities establish, implement and maintain their fair conduct programmes (FCPs). It will be useful for entities holding or applying for a licence to act as a financial institution under the Financial Markets Conduct Act 2013 (FMC Act), and anyone involved in establishing, implementing and maintaining an FCP.
    Tags
    Banking, Conduct, Insurance Providers, Financial Institutions, Business
    Type
    PDF

  5. 15 September 2022

    FMA Investor Profile – Sev Ozan

    Our latest Investor Profile is on Sev Ozan, a multi-hyphenate who has an active interest in investing.
    Tags
    Ways to invest, Shares, Investing, Article, Consumer, News & Insights
    Type
    Page

  7. 13 December 2022

    Consultation paper: Review of the Small Co-operatives and Irrigation Companies Class Exemptions

    We are seeking feedback on two class exemption notices, being:
    the Financial Markets Conduct (Small Co-operatives) Exemption Notice 2021
    the Financial Markets Conduct (Irrigation Companies) Exemption Notice 2018.
    The notices provide small co-operative companies, industrial and provident societies, and irrigation companies with a lighter regulatory compliance pathway.
    Tags
    Offer disclosure for equity and debt offers, Consultations, Roles, Business
    Type
    Page, Consultation

  9. 15 December 2022

    ASX 24 Obligations Review 2022

    This review covers the period 1 July 2020 to 30 June 2022 and is our fourth review of ASX 24 since its licence came into effect on 1 December 2014.
    Tags
    Reports and Papers, Roles, Business, News & Insights, Market operator
    Type
    PDF

  12. 27 August 2021

    Connected with a con: Nisha met a scammer on LinkedIn

    Nisha contacted the FMA in May 2021 to report a scam targeting users of popular social media platform Linkedin. She had connected with a woman who convinced her to invest with an entity called Standard Coin Options, which then insisted she pay them ‘tax’ before they would release her ‘profits’
    Tags
    Consumer, Scams
    Type
    Page

  13. 13 November 2018

    Supporting scam victims: Simon helped his father-in-law spot a scam

    What would you do if you thought a family member was being scammed?That was Simon’s dilemma after he became concerned about his father-in-law Richard. Simon believes the scammers first made contact with Richard by ringing him to take part in a phone survey - a classic scamming tactic.
    Tags
    Consumer, Scams
    Type
    Page

  14. 15 December 2022

    ASX 24 derivatives market and SGX-DT reviews released

    FMA has published the findings of its market operator obligations reviews for the Australian Securities Exchange Limited (ASX 24 derivatives market) and Singapore Exchange Derivatives Trading Limited (SGX-DT dairy derivatives market).
    Tags
    Media release, Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    Page