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  1. 3 December 2014

    FMA reaches settlement with ANZ over rural interest rate swaps

    The Financial Markets Authority said it has reached a settlement with ANZ Bank New Zealand Limited regarding the sale, promotion and marketing of rural interest rate swaps to rural customers. Read more.
    Tags
    Fair dealing, Media release, Business, Consumer, News & Insights
    Type
    Page

  2. 13 April 2010

    Civil Proceedings Served on Lombard Finance & Investments Directors

    The Securities Commission has issued civil proceedings under the Securities Act against Lombard Finance & Investments directors Sir Douglas Graham, Michael Reeves, William Jeffries and Lawrence Bryant. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  3. 10 September 2012

    FMA welcomes High Court ruling on Perpetual

    High Court's judgment ruled that FMA can retain documents relating to its inquiries into Perpetual Trust Limited. Perpetual had previously brought a challenge against FMA's information-gathering notices, alleging they were unlawful. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  4. 27 November 2017

    FMA publishes first peer-to-peer/crowdfunding statistical returns

    The Financial Markets Authority (FMA) today published its first statistical report on peer-to-peer lending and crowdfunding in New Zealand.
    Tags
    Crowdfunding providers, Media release, Roles, Business, News & Insights, Peer-to-peer lending service providers
    Type
    Page

  5. 21 July 2023

    Forestlands sole director, Rowan Kearns, sentenced for making false statements and financial reporting offences

    Rowan Kearns, the founder and sole director of the Forestlands group of companies, was sentenced yesterday to four months’ community detention and 100 hours’ community work with a 9pm – 7am curfew. The sentence follows a prosecution brought by the FMA filed in the Nelson District Court in September 2020.
    Tags
    Media release, Cases, Enforceable Undertaking, Powers, News & Insights, Enforcement
    Type
    Page

  6. 1 November 2023

    Former financial adviser pleads guilty to dishonesty offences

    The FMA charged a former financial adviser with multiple dishonesty offences following an investigation into her conduct. 
    Tags
    Media release, Enforceable undertaking, Powers, Financial Adviser, Investigations, Roles, Business, News & Insights, Enforcement
    Type
    Page

  10. 25 June 2020

    FMA welcomes start date of new financial advice regime and confirmation of disclosure requirements

    The Financial Markets Authority (FMA) is encouraging advisers to apply for their transitional licences by the end of the year, as the Government announces the start date to the new financial advice regime. Read the full media release here.
    Tags
    Financial advice, New Financial Advice regime, Media release, Financial Services Legislation Amendment Act (FSLAA), Financial Advice Provider, Roles, Business, Consumer, News & Insights
    Type
    Page

  11. 8 April 2024

    Online Services

    Online Services is a secure portal hosted by the FMA for submitting licence applications and, regulatory and scheme information.
    Tags
    Licensing & registration, Regulatory returns, Business
    Type
    Page

  12. 24 May 2021

    What to expect from your financial adviser

    When you deal with a licensed financial advice provider NZ law entitles you to minimum standards of service. Most financial advice providers must be licensed by the Financial Markets Authority. Learn more about what to expect from your financial adviser
    Tags
    Consumer
    Type
    Page

  13. 19 November 2015

    Financial Markets Conduct Regulations amended

    While the Financial Markets Conduct Regulations 2014 (FMC Regulations) covered the detail necessary for the Financial Markets Conduct Act 2013 (FMC Act) to come into force on 1 December 2014, the size and complexity of the reforms meant the Government needed to defer some non-urgent matters.
    Tags
    Regulation updates, FMC Act, Legislation, Business
    Type
    Page

  14. 24 May 2019

    How to spot an investment scam

    FMA guide to protecting yourself from investment scammers by identifying common types of scams.
    Tags
    Investing, Article, Consumer, News & Insights, Scams
    Type
    Page

  15. 10 December 2015

    Getting over the barriers to financial advice

    The survey has uncovered some of the main reasons New Zealanders shy away from seeking financial advice, even when they know it might help them.
    Tags
    Financial Advice Provider, Media release, Roles, Business, News & Insights
    Type
    Page