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  4. 5 June 2020

    How can the financial sector support vulnerable customers?

    Clare Bolingford, Director of Banking and Insurance at the Financial Markets Authority provides guidance for financial providers on how to support vulnerable customers.
    Tags
    COVID-19, FMA stories, Financial Advice Provider, Financial Adviser, Banking, Roles, Business, News & Insights
    Type
    Page

  8. 29 July 2021

    FMA releases cyber resilience info sheet for financial advice providers

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko - has today published an information sheet containing principles and resources to help licensed financial advice providers develop their cyber resilience.
    Tags
    Financial Advice Provider, Roles, Media release, Business, News & Insights
    Type
    Page

  9. 28 June 2021

    FMA releases guide for ‘finfluencers’

    The FMA has released a guide to talking about money online following concerns some social media influencers and bloggers may be straying into regulated financial advice.
    Tags
    Media release, Financial advice, Consumer, News & Insights
    Type
    Page

  10. 3 March 2021

    ‘Director for hire’ Michael Reps sentenced for FSPR abuse

    Michael Reps, the New Zealand-based director of Pegasus Markets Limited, has been sentenced to two months community detention and 90 hours community work after criminal charges were brought by the Financial Markets Authority (FMA) for breaches to the Financial Service Providers (Registration and Dispute Resolution) Act (FSP Act).
    Tags
    Cases, Media release, FMA, News & Insights, Enforcement
    Type
    Page

  11. 28 January 2021

    FMA releases review of NZX technology issues

    A review of NZX by the Financial Markets Authority (FMA), released today, has found the stock exchange failed to meet its licensed market operator obligations due to insufficient technology resources.
    Tags
    Compliance, FMC Act, Legislation, Roles, Media release, Business, FMA, Market operator, News & Insights
    Type
    Page

  12. 20 May 2021

    FMA appoints Liam Mason as General Counsel

    The Financial Markets Authority - Te Mana Tātai Hokohoko (FMA) has appointed Liam Mason as General Counsel.
    Tags
    FMA people, Media release, FMA executive team, FMA, News & Insights
    Type
    Page

  14. 24 September 2020

    FMA reports on monitoring of financial services firms and advisers

    A report on the FMA's supervision activities over the past 18 months says large parts of the financial services sector are working hard to meet the FMA’s expectations, but called for further and more widespread improvements to governance and compliance.
    Tags
    Compliance, Derivatives, Directors, Regulation, Regulation updates, Ways to invest, Investing, Roles, Media release, Business, Consumer, News & Insights
    Type
    Page, Guidance

  15. 21 May 2019

    FMA research highlights gap between what investors expect and what auditors deliver

    An FMA research project with investors, directors, managers and auditors has identified reasonable levels of confidence in audit quality, but also a serious gap in the expectations of investors and what auditors are delivering. The FMA commissioned the research to better understand public and industry perceptions of audit quality in New Zealand.
    Tags
    Auditors, Media release, Roles, Directors, Business, Consumer, News & Insights
    Type
    Page