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  1. 8 April 2024

    Standard Conditions for derivatives issuers

    If the FMA grants you a derivatives issuer licence under section 396 of the FMC Act, the licence will be subject to conditions detailed in this document.
    Tags
    Derivative Issuer, Standard conditions, Roles, Licensing & registration, Business
    Type
    PDF

  2. 8 September 2023

    Consultation: Climate-related disclosures timing challenge

    The FMA is consulting on a proposed exemption to exempt certain climate reporting entities from the requirement to include a link to their climate statements in their annual report for a 2-year period. Submissions close 7 August 2023.
    Tags
    Consultations, Roles, Authorised body under a FAP, Ethical finance, Climate related disclosure, Financial Institutions, Managed Investment Schemes, Climate Reporting Entities, Business, Managed investment schemes
    Type
    Page

  3. 15 November 2023

    Consultation: Proposed fair outcomes for consumers and markets

    Have your say on the proposed fair outcomes and approach that will form the basis of how the FMA engages with financial service providers. Submissions are now closed.
    Tags
    Consultations, Authorised body under a FAP, Client money or property services provider, Cryptocurrencies, Directors, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Crowdfunding Service Provider, Offers of financial products, Derivative Issuer, Independent Trustee, Peer to peer lending provider, Roles, Compliance, Business, Interposed persons under new financial advice regime, Managed investment schemes, Supervisor
    Type
    Page

  5. 1 March 2024

    Financial Markets Conduct (Climate-related Disclosures – Commonwealth Bank of Australia New Zealand) Exemption Notice 2024

    The Notice permits CBA to report only in relation to certain group members (CBA Group) and exempts CBA from reporting in relation to other group members (being ASB Holdings Limited and ASB Bank Limited and its subsidiaries) that are required otherwise to form part of the climate statements to be prepared for CBA’s New Zealand business under section 461ZB(3)(a) of the Act. With the exception of ASB Holdings Limited, the subsidiaries excluded from the CBA Group climate statements will be included in other climate statements pursuant to section 461ZA of the Act.
    Tags
    Exemptions, Business
    Type
    Page

  6. 21 November 2023

    Financial Markets Conduct (i-Select Superannuation Scheme) Exemption Notice 2023

    The Notice exempts i-Select Limited (i-Select) as manager of the i-Select Superannuation Scheme (the self-select scheme) from certain provisions of the FMC Act, the FMC Regulations, and the Financial Markets Conduct (Fees) Regulations 2014.
    Tags
    Exemptions, Business
    Type
    Page, Exemption notice, Current, Financial Markets Conduct Act exemptions

  7. 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

  8. 11 August 2023

    Enprise Group Limited

    FMA issues a formal warning to Enprise Group Limited (Enprise), for failing to keep proper accounting records.
    Tags
    Powers, Enforceable undertaking, Formal warning, Enforcement
    Type
    Page

  9. 30 September 2022

    AIA

    The Auckland High Court has ordered life insurer AIA to pay a pecuniary penalty of $700,000 for making false and/or misleading representations to some customers.
    Tags
    Court – civil, Powers, Enforcement
    Type
    Page

  10. 21 September 2015

    Murray Alcock and Allister Knight - SPI

    This criminal proceeding relates to allegations that Murray Alcock and Allister Knight, as Directors of SPI Capital Limited and SPI Property Limited, failed to deliver financial statements to the Registrar of Companies under ss 18(1) & 38(b) Financial Reporting Act 1993.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  12. 3 May 2016

    Craigs Investment Partners Limited

    The FMA conducted an investigation into potential breaches of the Anti-Money
    Laundering and Countering Financing of Terrorism Act 2009 in relation
    to Craigs. Read more.
    Tags
    AML/CFT, Roles, Formal warning, Powers, AML/CFT formal warning, Business, Enforcement
    Type
    Page

  13. 2 April 2024

    Consultation: Proposed exemption for certain green, social, sustainability and sustainability-linked bonds

    The FMA is consulting on a proposed class exemption to provide relief from disclosure requirements for certain green, social, sustainable, and sustainability-linked bonds. Have your say by 30 April 2024 .
    Tags
    Consultations, Offer disclosure for equity and debt offers, Ethical finance, Managed Investment Schemes, Climate Reporting Entities, Roles, Business
    Type
    Page

  14. 23 April 2024

    Liquidity risk management guide

    Effective liquidity risk management is a fundamental capability that Managed Investment Scheme (MIS) managers need to implement, maintain and enhance. The guide is designed to assist managers and supervisors effectively manage and oversee liquidity risk.
    Tags
    Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Guidance

  15. 15 March 2021

    Problems with your financial adviser

    All licensed financial advice providers must be part of an approved Dispute Resolution Scheme. This means they’re required to send complaints to an agreed third party to sort out if your complaint cannot be resolved directly with you.
    Tags
    Financial advice, Get advice, Investing, Consumer
    Type
    Page