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  1. 9 September 2021

    ‘No action’ relief as a result of COVID-19

    COVID-19 is having a significant impact on many market participants. We recognise that this may lead to practical difficulties which affect their ability to meet their regulatory obligations. Where a market participant breaches, or expects to breach, a regulatory obligation as a result of the COVID-19 circumstances and seeks relief from the FMA, the primary approach we intend to take is ‘no-action’.
    Tags
    COVID-19, News & Insights
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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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  4. 10 January 2020

    Market manipulation

    Market manipulation is where someone misleads (or attempts to mislead) the market by actions or omissions that give a false appearance of trading activity, supply, demand or the value of financial products. Read more in this article from the FMA.
    Tags
    Shares, Ways to invest, Investing, Article, Consumer, News & Insights
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  8. 14 October 2021

    Direct FX Limited

    SUSPENDED by the FMA: Derivative Issuer Licence for Direct FX Limited, FSP16781.
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    Derivative Issuer, Licensed entity, Roles, Reporting entities, Business
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  9. 19 October 2021

    Rob Everett speaks at the FSC Conference 2021

    Transcript of speech by Rob Everett, Chief Executive, Financial Markets Authority, at the FSC Conference 2021.
    Tags
    Speeches and presentations , Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Directors, Derivative Issuer, Discretionary investment management scheme (DIMS), Financial Advice Provider, Financial Adviser, Independent trustee, Conduct, Roles, Business, Interposed persons under new financial advice regime, Managed investment schemes, News & Insights, Peer-to-peer lending service providers, Nominated representatives
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  10. 20 June 2023

    Focus areas

    The FMA uses a range of tools to support the functioning of financial markets and services, and compliance with legislation. This section contains information about conduct regulation, ethical finance, climate related disclosures, innovation in financial markets, AML/CFT and consultations. 
    Tags
    AML/CFT, Offer information, Consultations, Exemptions, Roles, Conduct, Designations, Ethical finance, Business, FMA
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  14. 21 December 2022

    AML/CFT

    The Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the Act) and its regulations place obligations on New Zealand’s financial institutions to detect and deter money laundering and terrorism financing. Find out more about your AML/CFT obligations on this page.
    Tags
    AML/CFT, Roles, Obligations, Reporting entities, AML/CFT act 2009, Legislation, Business
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