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13 November 2023

Financial Market Infrastructures Act Designation Notice NZ Clear 2023

This notice is issued under Clause 4 of Schedule 1 of the Financial Markets Infrastructures Act 2021 by the Reserve Bank of New Zealand and the Financial Markets Authority.

Tags

Financial market infrastructures, Market operator, Roles, Business

Type

PDF
25 June 2024

NZX Obligations Review 2024

Findings from the FMA's review of how well NZX is meeting its licensed market operator obligations, for the period 1 January to 31 December 2023.

Tags

Reports and Papers, Roles, News, Business, Market operator, News & Insights

Type

PDF
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
13 December 2021

Eden REITs

Eden REITs including: Eden Development No.1 LP, Eden Development No.2 LP, Eden Development No.2A LP, Eden GP Limited, Eden TWO GP Limited, Eden Development No.3 LP, and Eden Three GP LImited

Tags

AML/CFT, Roles, Business

Type

Page
28 November 2014

Phase two of financial markets law completes long-term overhaul

The second phase of New Zealand’s new capital markets and financial services law takes effect from 1 December. Phase two includes licensing provisions that extend to several hundred further businesses, and a major shift in the quality of investor disclosure for financial products.

Tags

FMC Act, Legislation, Media release, Business, News & Insights

Type

Page
6 July 2016

KiwiSaver annual statements are being read but not acted upon

The Financial Markets Authority has released the results of a survey conducted in May this year, to coincide with the time when most KiwiSaver investors are receiving their annual statements. The survey was responded to by 1,313 KiwiSaver investors, two thirds of the total sample.

Tags

KiwiSaver providers, Media release, Managed investment schemes, Roles, Business, News & Insights

Type

Page
1 December 2010

Financial Advisers Regulatory Regime Comes Into Force

The new regulatory regime for financial advisers begins today, with the first Authorised Financial Advisers receiving their certificates of authorisation at a ceremony in Auckland from Commissioner for Financial Advisers, David Mayhew. The regulatory regime will be phased in between today and 1 July 2011.

Tags

Media release, FMA, News & Insights

Type

Page
4 June 2013

FMA report on NZX General Obligations Review

The Financial Markets Authority has released its annual report on NZX’s compliance with its obligations under the Securities Markets Act and the Authorised Futures Exchange (NZX Limited) Notice. The period under review was 1 January to 31 December 2012.

Tags

Media release, News & Insights

Type

Page
30 October 2014

FMA focus on improving conduct and increasing trust in financial markets

The Financial Markets Authority (FMA) Chief Executive Rob Everett has set out the evolving approach for the FMA as the regulator’s mandate expands under the Financial Markets Conduct Act, taking effect from 1 December.

Tags

FMC Act, Legislation, Media release, Business, News & Insights

Type

Page
14 June 2017

Insider trader sentenced

Jeffrey Peter Honey was sentenced to six months home detention at the Auckland District Court, after pleading guilty to one charge of insider trading under section 243(1)(a) and section 244 Financial Markets Conduct Act. Read more.

Tags

Media release, Cases, News & Insights, Enforcement

Type

Page
31 March 2011

D-day for Financial Advisers

From 1 April, all financial advisers, or the companies they work for, have to be registered on the online Financial Service Providers Register, www.fspr.govt.nz. Advisers who should be on the register, but aren't risk hefty penalties.

Tags

Media release, News & Insights

Type

Page
21 June 2022

Suspected scam: nesbittrusteeslimited.com

We are concerned that nesbittrusteeslimited.com (‘the website’) is involved in a scam. The website falsely claims to be registered in New Zealand and is using details of a NZ entity, Nesbit Trustees No 1 Limited (‘Nesbit’), without permission. Nesbit has confirmed that they are not associated with the website.

Tags

Imposter website, Suspected scam, Consumer, Scams

Type

Page
11 September 2014

Hayden and George Jones

This criminal proceeding relates to allegations that Hayden and George Jones, as Directors of Heritage Park Taupo Limited and Heritage Park Investments Limited, failed to deliver financial statements to the Registrar of Companies under ss 18(1) & 38(b) Financial Reporting Act 1993.

Tags

Enforcement

Type

Page
7 December 2021

FMA issues warning to investors about Leadway Investment Group

WARNING: FMA are concerned that www.leadwaygroups.com (the website) is potentially operating a scam. The website offers trading platforms for various financial products and promises unrealistically high and guaranteed investment returns ranging from 500% to 1,000% in 21 days.

Tags

International regulator alerts, Consumer, Scams

Type

Page
28 June 2022

FMA publishes NZX obligations annual review 2022

Key findings of the Financial Markets Authority’s (FMA) - Te Mana Tātai Hokohoko annual NZX Market Operator Obligations Review, which reports on how well NZX is meeting the requirements for its market operator licence. The most recent report covers the period 1 January to 31 December 2021.

Tags

Offer disclosure for equity and debt offers, Roles, Media release, Business, Market operator, News & Insights

Type

Page