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  1. 1 July 2020

    Derivatives Issuer Sector Risk Assessment

    This sector risk assessment summarises the key risks posed by licensed Derivatives Issuers (DIs) to the FMA’s objective of promoting fair, efficient and transparent financial markets. It is based on a self-assessment completed by DIs, as well as our interactions with DIs and their clients since FMC Act licensing began.
    Tags
    Reports and Papers, Derivative Issuer, Roles, Business, News & Insights
    Type
    PDF

  3. 3 April 2017

    FMA confirms short-term derivatives to be licensed

    The Financial Markets Authority has today confirmed that businesses selling short-duration derivatives need to be licensed. The Financial Markets Conduct Act introduced licensing for derivatives issuers in December 2014.
    Tags
    Derivatives, Ways to invest, Investing, Media release, Consumer, News & Insights
    Type
    Page

  6. 24 July 2020

    FMA publishes derivatives issuer Sector Risk Assessment

    A report identifying key risks in the Derivatives Issuer (DI) sector and highlighted future focus areas to improve sector compliance. Firms issuing derivatives to retail customers in New Zealand must be licensed by the FMA. The sector has approximately 23,000 accounts operated by retail customers.
    Tags
    Compliance, Cryptocurrencies, Derivatives, Governance, Regulation, Roles, Ways to invest, Investing, Media release, Business, Consumer, FMA, News & Insights
    Type
    Page

  7. 1 August 2019

    FMA suspends AxiCorp derivatives licence

    The Financial Markets Authority (FMA) has suspended the derivatives issuer licence of AxiCorp Financial Services Pty Limited (trading as AxiTrader) for material breaches of the Financial Markets Conduct Act 2013. Read more.
    Tags
    Media release, News & Insights
    Type
    Page

  8. 26 January 2021

    ASX 24 derivatives market review released

    The Financial Markets Authority (FMA) has published the findings of its obligations review of the ASX 24 derivatives market for the period of 1 July 2018 to 30 June 2020.
    Tags
    Compliance, Derivatives, Ways to invest, Investing, Roles, Media release, Business, Consumer, Market operator, News & Insights
    Type
    Page