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Found 3726 results. Displaying page 4 of 249

1. 8 April 2024

   Derivatives issuers

   A derivatives issuer that makes a regulated offer of derivatives must be licensed by the FMA. This page contains information about derivatives, obligations for derivatives issuers, and who needs to comply.

   Tags

   Compliance, Derivative Issuer, Obligations, Licensing & registration, Roles, Business

   Type

   Page

2. 1 March 2019

   Former RFA Warned for Facilitating Offending under the Financial Service Providers (Registration and Dispute Resolution) Act 2008

   We have warned a (former) registered financial adviser, Jonathan Simon Antony Branton-Casey, in relation to his professional conduct which fell short of the FMA’s expectations of a registered financial adviser under the Financial Advisers Act 2008 (FA Act) and/or under the Crimes Act 1961.

   Tags

   Scams

   Type

   Page

3. 18 March 2011

   Securities Commission Orders Whimp Partnerships to Correct 'Low Ball' Offers

   The Securities Commission has made orders against limited partnerships associated with Mr Bernard Whimp. The orders follow misleading offers made by the limited partnerships to buy shares in a number of listed companies. Read more.

   Tags

   Media release, Cases, News & Insights, Enforcement

   Type

   Page

4. 16 July 2010

   Finance & Investments Partners Enforceable Undertaking

   The Securities Commission has accepted enforceable undertakings from the partners of Finance & Investments, Mr Andrew Harding and Mr Murray Scholfield.

   Tags

   Media release, Cases, News & Insights, Enforcement

   Type

   Page

5. 23 April 2015

   New guide to bank capital notes aims to boost consumer understanding

   FMA encourages consumers who are considering investing in bank capital notes to read its new guide on this type of investment product.

   Tags

   Capital notes, Media release, Ways to invest, Investing, Consumer, News & Insights

   Type

   Page

6. 16 March 2017

   FMA files charges under the Financial Service Providers (Registration and Dispute Resolution) Act

   The FMA has filed charges against Garry James Patterson in the Christchurch District Court. The FMA alleges Mr Patterson was, or was holding out as being, in the business of providing financial services in contravention of the FSP Act. Read more.

   Tags

   Media release, Cases, News & Insights, Enforcement

   Type

   Page

7. 10 May 2017

   Media Statement on NZX updated code of corporate governance

   The FMA welcomes the publication of NZX’s updated Corporate Governance Code.

   Tags

   Market operator, Media release, Roles, Business, News & Insights

   Type

   Page

8. 12 July 2018

   Investors show mixed levels of understanding while confidence in financial markets remains stable

   Confidence in New Zealand’s financial markets has remained stable since 2017, despite uncertainty around a potential trade war, volatile global markets and a focus on the culture and conduct of major financial institutions in Australia and New Zealand.

   Tags

   Media release, Consumer, News & Insights

   Type

   Page

9. 3 July 2015

   FMA strategy to boost New Zealanders’ understanding and knowledge about investing

   The Financial Markets Authority (FMA) today released its Investor Capability Strategy, which aims to build knowledge, understanding and confidence about making investment decisions.

   Tags

   Investing, Governance, Media release, Consumer, FMA, News & Insights

   Type

   Page

10. 11 April 2016

    Be wary of investment offers from outside the regulatory patch

    After receiving more than 2,000 complaints since July 2014, the FMA is warning investors to step inside the regulatory tent for their own protection.

    Tags

    Media release, FMA, News & Insights

    Type

    Page

11. 26 February 2016

    The FMA’s 100 billion dollar challenge: Raising confidence in the managed funds industry

    The final phase of implementing the Financial Markets Conduct Act (FMC Act) involves the Financial Markets Authority (FMA) licensing a sector responsible for about $100 billion of New Zealanders’ wealth.

    Tags

    Managed funds, Media release, Ways to invest, Investing, Consumer, News & Insights

    Type

    Page, Guidance

12. 21 April 2020

    Impact of COVID-19 on independent AML/CFT audits

    The FMA reviews impacts of COVID-19 on independent AML/CFT audits.

    Tags

    COVID-19, AML/CFT, Roles, Business, News & Insights

    Type

    Page

13. 30 August 2022

    FMA directs Kalkine to stop making outgoing sales calls to New Zealanders after misleading marketing conduct

    FMA has directed Kalkine New Zealand Limited to stop making outgoing sales calls to people in New Zealand.

    Tags

    Financial Adviser, Roles, Enforceable action, News, Media release, Business, News & Insights, Enforcement

    Type

    Page

14. 16 October 2015

    FMA confirms new organisation structure and appointments to leadership team

    The Financial Markets Authority (FMA) has announced a revised organisational structure and key appointments for its executive committee.

    Tags

    Governance, Media release, FMA, News & Insights

    Type

    Page

15. 17 August 2012

    FMA welcomes ruling on asset preservation orders

    The Court of Appeal has dismissed an appeal by the trustees of the KA3 and KA4 trusts on interim asset preservation orders obtained by FMA. Read more.

    Tags

    Media release, Cases, News & Insights, Enforcement

    Type

    Page