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  2. 2 September 2010

    Draft Code to Minister for Approval

    The Commissioner for Financial Advisers, David Mayhew has approved the draft Code of Professional Conduct for Authorised Financial Advisers, and sent it to the Minister of Commerce, Hon Simon Power for his approval.
    Tags
    Media release, News & Insights
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  4. 22 December 2020

    Privacy Statement

    The Financial Markets Authority is committed to ensuring your privacy is protected. Read our Privacy policy here.
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  5. 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.
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    Media release, News & Insights, Enforcement
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    Page

  7. 7 September 2012

    New designated settlement system

    The Reserve Bank of New Zealand and the Financial Markets Authority (FMA) have announced that the NZ Clear Settlement System has been declared a designated settlement system under Part 5C of the Reserve Bank of New Zealand Act.
    Tags
    Media release, News & Insights
    Type
    Page

  8. 15 August 2011

    FMA orders Share Buyers Limited to include warning

    The Financial Markets Authority (FMA) has ordered Share Buyers Limited (Share Buyers) and associated persons to include a warning from FMA in a prominent position at the beginning of any document making an unsolicited offer to buy shares or other securities.
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    Media release, Cases, News & Insights, Enforcement
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  9. 29 March 2011

    Commission Releases Risk Assessment for Sector

    The Securities Commission today released a risk assessment to help those it is responsible for supervising prepare to meet upcoming requirements of the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009.
    Tags
    Media release, News & Insights
    Type
    Page

  10. 29 July 2010

    Code Committee Members Reappointed

    Commissioner for Financial Advisers David Mayhew has announced the reappointment of three members of the Code Committee. The Committee was established in July 2009 to draft a Code of Professional Conduct for Authorised Financial Advisers (AFAs).
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    Media release, News & Insights
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    Page

  11. 31 August 2022

    Securities Act (Amalgamations)

    Securities Act (Amalgamations) - expired exemption notice
    Tags
    Exemptions, Secondary legislation, Business
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  13. 7 April 2016

    Consultation paper: Exemption for small offers of co-operative shares

    Consultation paper: Exemption for small offers of co-operative shares. We are seeking views on the proposals to provide class exemptions which provide co-operative companies and industrial and provident societies a lighter path of compliance with the Financial Markets Conduct Act 2013 (FMC Act) when they offer their members shares of minimal value.
    Tags
    Offer disclosure for equity and debt offers, Offer information, Consultations, Exemptions, Roles, Business, FMA
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  14. 28 November 2016

    FMA releases Audit Quality Monitoring report

    The FMA’s 2016 Audit Quality Report reflects that improvements continue to be made in audit quality. The report shows the sector is increasingly aligned with the expectations of the FMA and international auditing standards and global best practice. However, it also notes that files reviewed still show that further improvement is necessary.
    Tags
    Auditors, Media release, Roles, Business, News & Insights
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  15. 14 June 2017

    Insider trader sentenced

    Jeffrey Peter Honey was sentenced to six months home detention at the Auckland District Court, after pleading guilty to one charge of insider trading under section 243(1)(a) and section 244 Financial Markets Conduct Act. Read more.
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    Media release, Cases, News & Insights, Enforcement
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    Page