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  2. 30 September 2021

    FMA steps up enforcement of anti-money laundering breaches

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has escalated its enforcement approach to non-compliance with New Zealand’s anti-money laundering and countering financing of terrorism (AML/CFT) rules, according to a new report.
    Tags
    AML/CFT, Roles, Reporting entities, Media release, Business, News & Insights, Enforcement
    Type
    Page

  3. 24 May 2019

    Guide to "low ball" offers

    A ‘low ball’ offer is an unsolicited offer to buy an investment from you at significantly below the market price and/or where payment is spread over a long period of time.
    Tags
    Investing, Article, Consumer, News & Insights
    Type
    Page

  4. 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

  5. 30 June 2023

    Accredited bodies

    Accredited bodies are organisations permitted under the ARAct to license auditors and register audit firms. View the definition of accredited bodies along with their obligations and minimum standards on this page.
    Tags
    Roles, Accredited bodies, Business
    Type
    Page

  6. 2 October 2015

    The FMA publishes first annual report under the new regulatory regime

    The Financial Markets Authority (FMA) chief executive Rob Everett has told a trans-Tasman audience that it will be four to five years before New Zealand sees the full economic and business benefits of the new financial services regulatory regime.
    Tags
    Governance, Media release, FMA, News & Insights
    Type
    Page

  9. 2 April 2024

    NZX Notices archive

    See here the list of notices issued by FMA under Financial Market Conduct Act (FMCA).
    Tags
    Type
    Page, Notice

  10. 8 February 2024

    Wisdom House Investment Partners Limited

    FMA filed criminal charges against Yuen Pok (Paul) Loo of Wisdom House following offences under financial markets legislation. View the history and progress of the case on this page.
    Tags
    Stop Order, Powers, Licence cancellation, Financial Advice Provider, Financial Adviser, Roles, Court – criminal, Business, Enforcement
    Type
    Page

  11. 6 June 2011

    Zero Commission NZ Limited

    FMA asked Zero for an enforceable undertaking and to include a statement provided by FMA at the beginning of the unsolicited offers to ensure that investors make an informed decision. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  12. 5 October 2020

    Mary Holm’s introductory guide to investing

    Hits and Myths is an introductory guide to investing written by Mary Holm for the FMA. In this booklet she sets the record straight on eight common myths about investing. It’s a quick guide for anyone who’s thinking about or already dabbling in investing – and wants to know more.
    Tags
    Investing, Investment basics, Investing guides, Consumer
    Type
    Page

  14. 22 December 2010

    New Conditions for Qualifying Financial Entities

    The Securities Commission has published the standard conditions Qualifying Financial Entities (QFEs) will need to abide by when their employees and representatives give financial advice.
    Tags
    Media release, News & Insights
    Type
    Page

  15. 7 February 2013

    FMA concludes investigation into Strategic Finance

    The investigation into Strategic Finance Limited concluded, with FMA forming the view that six of the company's directors are likely to have breached the Securities Act. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page