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  2. 11 August 2023

    Enforcement Activity

    Through our investigation and enforcement activities we aim to raise standards of behaviour, deter misconduct, and hold to account those whose conduct harms the fair, efficient and transparent operation of our financial markets. View our list of enforcement actions and cases on this page.
    Tags
    Cases, Enforceable action, Enforceable undertaking, Powers, Enforcement
    Type
    Page

  3. 3 May 2016

    Craigs Investment Partners Limited

    The FMA conducted an investigation into potential breaches of the Anti-Money
    Laundering and Countering Financing of Terrorism Act 2009 in relation
    to Craigs. Read more.
    Tags
    AML/CFT, Roles, Formal warning, Powers, AML/CFT formal warning, Business, Enforcement
    Type
    Page

  4. 15 March 2021

    Problems with your financial adviser

    All licensed financial advice providers must be part of an approved Dispute Resolution Scheme. This means they’re required to send complaints to an agreed third party to sort out if your complaint cannot be resolved directly with you.
    Tags
    Financial advice, Get advice, Investing, Consumer
    Type
    Page

  5. 16 January 2024

    Banking

    The FMA regulates certain products that may be offered by banks (e.g. managed funds) to you. The FMA is interested in the overall conduct of banks. THe FMA does not have a direct legislative mandate for regulating the conduct of providers of core retail banking (such as lending, credit and bank accounts).
    Tags
    Consumer banking, Consumer
    Type
    Page

  6. 27 January 2023

    FMA Investor Profile - Jane Wrightson

    Retirement Commissioner, Jane Wrightson describes herself as a ‘life-long learner’ in this FMA investor profile.
    Tags
    Article, KiwiSaver & Superannuation, Consumer, News & Insights
    Type
    Page

  7. 15 March 2021

    Guide to switching your KiwiSaver provider

    FMA guide to switching your KiwiSaver provider.
    Tags
    Managed funds, KiwiSaver & Superannuation, Ways to invest, Investing, Article, Consumer, News & Insights
    Type
    Page

  8. 15 March 2021

    Getting advice

    If you want to invest, get a mortgage or insurance, or plan for your long-term future, you may benefit from getting financial advice. This section of the FMA website talks about when to get financial advice and how financial advice is regulated in New Zealand, the role of financial advice providers. You can also find useful tips of working with a financial adviser and what to do if you face problems with your financial adviser.
    Tags
    Financial advice, Get advice, Investing, Consumer
    Type
    Page

  10. 20 October 2022

    Investments for wholesale and eligible investors

    Wholesale investment offers are aimed at experienced investors, often with large sums of money to invest. Read more about wholesale investors and investments on this page.
    Tags
    Wholesale investing, Ways to invest, Investing, Consumer
    Type
    Page

  12. 8 November 2022

    Mortgage advice

    A mortgage adviser works with you to: Understand your needs and goals, work out what you can afford to borrow, find options to suit your situation and more. A mortgage adviser is a go-between who deals with banks or other lenders to arrange a home loan for you.
    Tags
    Financial advice, Get advice, Mortgage advice, Investing, Consumer
    Type
    Page

  13. 23 May 2019

    Superannuation products

    Superannuation schemes are managed fund investments. When you save via a superannuation scheme, your money is pooled with other New Zealander’s in your scheme and is spread across different kinds of investments. Some schemes offer additional benefits such as life or disability insurance. If you’re considering joining a workplace savings scheme instead of KiwiSaver, make sure you compare the benefits first.
    Tags
    KiwiSaver & Superannuation, Consumer
    Type
    Page

  14. 15 March 2021

    Insurance advice

    An insurance adviser works with you to: Understand your needs and goals, work out what you can afford to pay in premiums, find options to suit your situation an more. An insurance adviser is a go-between who deals with insurers to arrange your insurance. They will also help if you need to claim on your insurance.
    Tags
    Financial advice, Get advice, Insurance advice, Investing, Consumer
    Type
    Page

  15. 31 July 2023

    Financial market infrastructures

    Financial market infrastructures (FMIs) provide channels through which payments, securities, derivatives or other financial transactions are cleared, settled or recorded. Well-functioning and efficient FMIs play a critical role in promoting financial stability and economic growth. Read more about Financial Market Infrastructures (FMI) on this page.
    Tags
    Compliance, Financial market infrastructures, Roles, Business
    Type
    Page