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  1. 27 November 2017

    FMA publishes first peer-to-peer/crowdfunding statistical returns

    The Financial Markets Authority (FMA) today published its first statistical report on peer-to-peer lending and crowdfunding in New Zealand.
    Tags
    Crowdfunding providers, Media release, Roles, Business, News & Insights, Peer-to-peer lending service providers
    Type
    Page

  2. 24 May 2017

    Licensing overview: what the FMA found and what firms need to know

    Common issues, hints for new applicants and a guide to the Financial Markets Authority’s (FMA) future focus are included in a review of the regulator’s first two and a half years of licensing.
    Tags
    Licensing & registration, Media release, Business, News & Insights
    Type
    Page

  4. 9 June 2011

    FMA warns of unacceptable KiwiSaver sales practices

    The Financial Markets Authority is urging investors to be wary of unacceptable sales practices being used in selling some KiwiSaver schemes.
    Tags
    Media release, Formal warning, Powers, News & Insights, Enforcement
    Type
    Page

  5. 18 December 2012

    FMA welcomes Commerce Commission settlement in Credit SaILS investigation

    FMA has today welcomed the Commerce Commission's settlement with five companies in relation to the Commission's Credit SaILS investigation, which creates a settlement fund of $60 million to be distributed to investors who lost money when Credit SaILS failed in 2008.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  8. 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

  9. 26 January 2012

    FMA to issue guidance on effective disclosure in offer documents

    The Financial Markets Authority has published draft guidance for securities issuers, directors and their advisers on how to prepare and present effective prospectuses and investment statements.
    Tags
    Media release, News & Insights
    Type
    Page, Guidance

  11. 29 February 2012

    FMA warns of illegal offer by Makko Securities to advise on Facebook IPO

    The Financial Markets Authority is warning the public of an illegal offer by Makko Securities and its Senior Account Manager, Roy Lochen, to provide broking services in relation to the proposed Initial Public Offering of Facebook and other securities.
    Tags
    Media release, Formal warning, Powers, News & Insights, Enforcement
    Type
    Page

  12. 19 May 2015

    FMA removes offshore firms from the Financial Services Provider Register – warnings issued against companies who fail to respond

    The Financial Markets Authority (FMA) has confirmed that a number of offshore firms have recently been removed from the Financial Services Provider Register (FSPR). While the Registrar of Companies maintains the FSPR, the FMA has powers to direct the Registrar to remove companies from the FSPR where it is likely that a company is giving a false or misleading impression about the extent to which it is regulated in New Zealand.
    Tags
    Media release, Formal warning, Powers, News & Insights, Enforcement
    Type
    Page

  13. 2 May 2011

    FMA Issues Whimp Warning

    The Financial Markets Authority (FMA) has today issued a warning about unsolicited offers that may be made by Mr Bernard Whimp and entities associated with him.
    Tags
    Media release, Formal warning, Powers, News & Insights, Enforcement
    Type
    Page

  15. 25 May 2015

    Apple Fields directors fined on non-filing charges

    The two directors of Apple Fields Limited have today been fined $30,000 each at the Christchurch District Court for breaches of the Financial Reporting Act 1993.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page