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  2. 8 July 2011

    Share Buyers Limited (Share Buyers)

    We make the following order against Share Buyers and Share Buyers Associates.
    Tags
    Cases, Direction Order, Powers, Enforcement
    Type
    Page

  3. 3 November 2023

    Insider trading case involving Pushpay shares

    The FMA has filed proceedings against two individuals for alleged insider trading in relation to the sale of shares in Pushpay Holdings Limited (NZX:PPH).
    Tags
    Insider trading, Enforcement
    Type
    Page

  4. 17 January 2023

    Cigna Life Insurance New Zealand Limited

    Cigna Life Insurance New Zealand Limited has admitted to making false and/or misleading representations to customers in proceedings brought by the FMA. This page documents the timeline of enforcement activity.
    Tags
    Misleading statement, Court – civil, Powers, Enforcement
    Type
    Page

  5. 5 June 2014

    Strategic Finance Limited

    FMA investigation into Strategic had found that the directors( Kerry Finnigan, Graham Jackson, Marcel Lindale, Timothy Rich, Denis Thom, David Wolfenden) are likely to have breached the Securities Act by making untrue statements in a registered prospectus, investment statement and in an advertisement between March 2008 and August 2008. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  7. 15 March 2021

    Getting advice

    If you want to invest, get a mortgage or insurance, or plan for your long-term future, you may benefit from getting financial advice. This section of the FMA website talks about when to get financial advice and how financial advice is regulated in New Zealand, the role of financial advice providers. You can also find useful tips of working with a financial adviser and what to do if you face problems with your financial adviser.
    Tags
    Financial advice, Get advice, Investing, Consumer
    Type
    Page

  8. 2 July 2024

    Booster Investment Management Limited

    The FMA filed civil proceedings against Booster Investment Management Limited (BIML), a wholly owned subsidiary of Booster Financial Services Limited.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  9. 25 July 2022

    Bank regulatory capital

    Registered banks in New Zealand must hold a certain amount of ‘capital’ to make them less likely to go out of business. This is called regulatory capital, and banks offer financial products to raise this money. Find out more about the risks and common terms here.
    Tags
    Ways to invest, Investing, Bank regulatory capital, Consumer
    Type
    Page

  12. 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
    Type
    Page

  13. 10 October 2022

    Ethical investing

    Ethical investing, responsible investing, green finance, sustainable investing, social investing, ESG. Whatever you call it, many of us are keen to align our investment choices to our values. But before you jump in because an investment claims to be ‘ethical’, take a deeper look at what you’re investing in and other factors you may need to consider.
    Tags
    Bonds, Ways to invest, Investing, Consumer
    Type
    Page