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  1. 8 April 2024

    Derivatives issuers

    A derivatives issuer that makes a regulated offer of derivatives must be licensed by the FMA. This page contains information about derivatives, obligations for derivatives issuers, and who needs to comply.
    Tags
    Compliance, Derivative Issuer, Obligations, Licensing & registration, Roles, Business
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  2. 8 April 2024

    Discretionary Investment Management Service (DIMS)

    To provide discretionary investment management services (DIMS) under the FMC Act you must hold a DIMS market services licence issued under the FMA Act. Find out more about the licensing, fees associated with licensing, compliance obligations and exemptions available to this role in New Zealand.
    Tags
    Compliance, Discretionary investment management scheme (DIMS), Obligations, Licensing & registration, Roles, Business
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    Page

  3. 20 March 2020

    FMA COVID-19 Update 20 March 2020

    We are closely monitoring the coronavirus situation and thinking carefully about all necessary actions to ensure customers and investors are protected and markets continue to function well.
    Tags
    COVID-19, News & Insights
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    Page

  4. 8 August 2022

    When to contact us and who else may be able to help

    Whilst the FMA is always happy to help, In some situations, there are other Agencies and organisations who are best placed to help. This page has a list of links to other organisations that could be better placed to help based on your needs.
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    Type
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  5. 23 April 2024

    Finance professionals

    The business pages provide financial market participants with guidance and information to fulfil your ongoing licence and regulatory obligations.
    Tags
    Compliance, Business, FMA
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    Page

  7. 28 July 2010

    Issuers Could Improve Corporate Governance Reporting

    The Securities Commission's latest review of corporate governance reporting shows that while most issuers are doing well, many need to improve their disclosures when it comes to ethical standards, directors and executive's remuneration, risk management, and shareholder and stakeholder relations.
    Tags
    Media release, News & Insights
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    Page

  8. 11 March 2016

    Warning: Beware of unsolicited offers of employment

    We have become aware that an organisation falsely claiming to be associated with a New Zealand Authorised Financial Adviser has been contacting members of the public via the Australian website www.seek.com.au offering employment as Payment Security Managers.
    Tags
    Scams
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    Page

  9. 3 July 2024

    FMA censures deVere for breaching its licence obligations

    The FMA has censured Auckland-based financial services firm deVere New Zealand Limited (deVere) for failing to comply with obligations under its Financial Advice Provider (FAP) licence.
    Tags
    Media release, Authorised body under a FAP, Financial Advice Provider, Financial Adviser, Enforceable undertaking, Roles, Powers, Business, News & Insights, Enforcement
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  10. 31 August 2022

    Securities Act (Amalgamations)

    Securities Act (Amalgamations) - expired exemption notice
    Tags
    Exemptions, Secondary legislation, Business
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    Page

  11. 4 November 2020

    Rob Everett speech to 2020 Financial Services Council Conference

    FMA CEO Rob Everett addressed the Financial Services Council’s 2020 Generations Conference.
    Tags
    Compliance, COVID-19, FMC Act, New Financial Advice regime, Financial advice, Legislation, Speeches and presentations , Business, Consumer, News & Insights
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  12. 28 August 2017

    FMA publishes annual corporate plan

    The Financial Markets Authority is publishing its annual corporate plan for the first time, setting out its planned regulatory activities and key areas of focus to June 2018.
    Tags
    Governance, Media release, FMA, News & Insights
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    Page

  13. 14 December 2021

    Website scam warning for blackwood-investment.com

    WARNING: We are aware that representatives from the blackwood-investment.com website have cold-called New Zealand investors offering fictitious pre-IPO shares. We believe they are impersonating a registered Hong Kong company, Blackwood Investment Limited. blackwood-investment.com is operating a scam.
    Tags
    Suspected scam, Scams
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    Page

  14. 6 March 2024

    Trent and Castle – Cold calling, unregistered

    We have received a report of Trent and Castle representatives cold calling New Zealand residents and offering stock broking and managed investments plans.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page