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  1. 26 January 2024

    Investing New Zealand - Comparison site harvesting investor details

    We are concerned that Investing New Zealand may be operating a scam. It operates a website claiming to compare term deposit rates which states it offers “deposit protection up to $100,000 NZD per investment”, however no such scheme is currently offered in New Zealand.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
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    Page

  2. 31 July 2015

    FMA files civil proceedings against portfolio manager for alleged market manipulation

    The Financial Markets Authority (FMA) has issued civil proceedings in the High Court seeking pecuniary penalties against Mr Mark Warminger for trading carried out while employed by Milford Asset Management Limited (Milford). The trading occurred between December 2013 and August 2014.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  3. 9 March 2017

    FMA files charges for insider trading

    The FMA has filed charges in the Auckland District Court alleging breaches of the insider trading prohibitions contained in the Financial Markets Conduct Act 2013 (FMCA). The charges were filed in relation to trading in shares of Eroad (NZX:ERD). The individuals charged are a current and a former Eroad employee.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  4. 23 April 2024

    Supervisors

    Supervisors are appointed to look after investors' interests for some types of financial products and the interests of residents of retirement villages. Supervisors covered by the Financial Markets Supervisors Act 2011 (the FMS Act) are those who supervise debt securities; Registered schemes, including KiwiSaver schemes, specified managed funds and superannuation schemes, and retirement villages.View more about licensing and registration and the obligations of Supervisors in New Zealand on this page.
    Tags
    Compliance, Obligations, Licensing & registration, Roles, Business, Managed investment schemes, Supervisor
    Type
    Page

  5. 21 May 2024

    Official Information Act (OIA) requests

    The Official Information Act 1982 (OIA) gives New Zealanders the right to request official information. We are committed to carrying out our functions and responsibilities in an open, transparent and accountable manner. We will publish OIA statistics and some responses to requests for information every quarter.
    Tags
    Type
    Page, OIA

  6. 30 November 2012

    Further charges laid in Belgrave Finance investigation

    Hugh Edward Staples Hamilton (61) has appeared at the Auckland District Court today charged with fraud following the 2008 collapse of Belgrave Finance Limited. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  7. 14 March 2023

    Consultation: Proposed exemptions for foreign listed issuers from climate reporting duties

    The FMA is seeking feedback on the need for, and the content of, proposed exemptions for foreign exempt issuers from climate reporting duties by 5PM, 17 April 2023.
    Tags
    Consultations, Climate related disclosure, Ethical finance, Authorised body under a FAP, Discretionary investment management scheme (DIMS), Financial Institutions, Roles, Business
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    Page

  8. 30 May 2024

    FMA publishes first monitoring insights report into Financial Advice Providers

    The FMA today published its first monitoring report of the new financial advice regime. The report shows how a range of Financial Advice Providers (FAPs) responded to the obligations and licensing requirements under the new regime introduced during the transitional period in 2021, and fully effective from March 2023.
    Tags
    Media release, Authorised body under a FAP, Financial Advice Provider, Financial Adviser, Roles, Business, News & Insights, Nominated representatives
    Type
    Page

  9. 17 December 2019

    FMA files civil proceedings against CBL Corporation, its directors and chief financial officer

    The FMA has issued two sets of civil proceedings in the Auckland High Court against CBL Corporation Limited (In liquidation) (CBLC), the six directors and the chief financial officer alleging multiple breaches of the Financial Markets Conduct Act 2013 (“FMC Act”). The FMA is seeking declarations of contravention¹ and civil pecuniary penalties in both proceedings.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  12. 9 September 2019

    Opportunity for all Kiwis in Capital Markets 2029 report

    NZX and the Financial Markets Authority (FMA) today welcomed the release of the Capital Markets 2029 report, saying the 10-year vision and growth agenda would create more opportunities for Kiwis to grow personal wealth, help New Zealand businesses to prosper, and help future-proof the country’s economy.
    Tags
    Roles, Media release, Business, News & Insights, Market operator
    Type
    Page

  13. 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