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  3. 20 May 2022

    Fair dealing

    Underpinning the breadth of the FMC Act are the fair dealing provisions, which set out the core standards of behaviour that those operating in the financial markets must comply with. This webpage provides an overview of why the fair dealing and stop order provisions are important, who must comply with these requirements, the principles the FMA applies when assessing compliance, our enforcement approach and how you can report possible breaches.
    Tags
    Fair dealing, Business
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    Page

  4. 28 February 2017

    The FMA: What to expect from your financial provider

    The Financial Markets Authority (FMA) has today published a series of pointers for customers to use when they are dealing with financial services providers.
    Tags
    Crowdfunding providers, Derivatives, Roles, Ways to invest, Investing, Media release, Business, Consumer, News & Insights
    Type
    Page

  5. 5 December 2013

    FMA releases stakeholder feedback report

    The Financial Markets Authority (FMA) has released the findings of the 2013 FMA stakeholder feedback report.
    Tags
    Media release, News & Insights
    Type
    Page

  7. 3 September 2010

    New Designated Settlement System

    The Reserve Bank of New Zealand and the Securities Commission today announced that the newly established NZCDC 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. 1 April 2013

    Securities Act (Deposit Takers)

    Securities Act (Deposit Takers) expired exemption notice
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  11. 11 October 2017

    FMA files insider trading charges

    The FMA has filed criminal charges against an individual in the Auckland District Court alleging insider trading in contravention of the Securities Markets Act 1988. Read more.
    Tags
    Insider trading, Media release, Cases, News & Insights, Enforcement
    Type
    Page

  12. 31 August 2022

    Jarden Securities Limited

    Jarden Securities Limited formerly known as First NZ Capital Securities Limited is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  14. 31 August 2022

    WEALTHDESIGN LIMITED

    WEALTHDESIGN LIMITED is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  15. 18 May 2018

    Securities and Trade Commission

    The Securities and Trade Commission is not a legitimate financial services regulator.
    Tags
    Fake regulator, Suspected scam, Scams
    Type
    Page