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  1. 24 June 2021

    Investor capability and consumer insights

    Capable, confident and well-informed investors are an essential part of healthy financial markets. Part of the FMA's role is to help investors build this capability and to seek insights from both investors and consumers of other financial services. This page explains the objective of the FMA in building customer capability and how we approach our work in building a safe and transparent financial market.
    Tags
    Regulation, Business, FMA
    Type
    Page

  2. 11 May 2020

    Scam info for Pacific communities

    Scammers are targetting Pacific communities. This page talks about things you need to be aware of before investing. It also provides a real life scam story of someone who lost money in a scam.
    Tags
    Investor information, Consumer, Scams
    Type
    Page

  3. 24 September 2020

    John Botica speaking at the Financial Advice New Zealand 2020 Conference: Bounce

    Speech notes: John Botica speaking at the Financial Advice New Zealand Conference on 24th September 2020.
    Tags
    Financial Adviser, New Financial Advice regime, Roles, Speeches and presentations , Financial Advice Provider, Financial Services Legislation Amendment Act (FSLAA), Business, News & Insights
    Type
    Page

  4. 7 June 2023

    TryTrade – Unregistered business, cold calling

    TryTrade is not registered on New Zealand’s Financial Services Provider Register to provide any financial products or services to New Zealand residents.
    Tags
    Investor warning, Consumer
    Type
    Page

  5. 1 June 2023

    FMA files proceedings against Medical Assurance Society over fair dealing provision breaches

    FMA has filed High Court proceedings against Medical Assurance Society New Zealand Limited (MAS) and its subsidiaries for fair dealing breaches under section 22 of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Fair dealing, Media release, Cases, Enforceable undertaking, Powers, Insurance Providers, Business, News & Insights, Enforcement
    Type
    Page

  6. 25 May 2023

    Sustainable? Ethical? The substance must back up the claims

    Paul Gregory, Executive Director Response and Enforcement, FMA talks about greenwashing and how misleading or false claims about social or environmental benefits go to the heart of fair dealing, and how the overall impression provided by marketing materials is critical.
    Tags
    Roles, Business, News & Insights, Supervisor
    Type
    Page

  7. 24 July 2013

    FMA files first market manipulation case in New Zealand

    FMA filed and served civil proceedings against Brian Peter Henry alleging market manipulation of shares in the NZX-listed Diligent Board Member Services. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  8. 5 November 2020

    Carrera Corporation Ltd

    Carrera Corporation Ltd (carreracorporationltd.com) may be operating a scam. It claims to offer investment plans with unrealistically high returns.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  9. 23 July 2019

    Syndicated Trusts Limited

    The Financial Markets Authority (FMA) has issued a Stop Order against Syndicated Trusts Limited (STL), ordering the company to stop advertising or accepting money for financial products. FMA warns New Zealanders to be wary of dealing with the company.
    Tags
    Stop Order, Powers, Enforcement
    Type
    Page

  10. 13 February 2023

    '5 mins with the FMA' podcast #5: Climate-related disclosures

    In this FMA podcast, we discuss New Zealand’s new climate-related disclosures regime with the manager of climate-related disclosures, Jenika Phipps.
    Tags
    Climate related disclosure, News, Ethical finance, Authorised body under a FAP, Financial Institutions, Roles, Business, Consumer, Managed investment schemes, News & Insights
    Type
    Page, Podcast

  11. 25 October 2019

    Financial Markets Conduct (trueEX LLC) Exemption Revocation Notice 2019

    The Financial Markets Conduct (trueEX LLC) Exemption Revocation Notice 2019 revokes the Financial Markets Conduct (trueEX LLC) Exemption Notice 2018 which exempted trueEX from having to be licenced to provide a financial product market. This exemption revoking the earlier exemption has been granted on the request of trueEX as it is no longer operating the financial product market.
    Tags
    Exemptions, Business
    Type
    Page