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  2. 25 June 2010

    Financial Advisers Urged to Get Ready for Regulation

    The Commissioner for Financial Advisers, David Mayhew, has urged advisers to get ready for the new regulatory regime. He also updated the Securities Commission's financial adviser implementation timetable.
    Tags
    Media release, News & Insights
    Type
    Page

  3. 24 November 2015

    Consultation paper: Draft guidance on risk indicators and descriptions of managed funds

    Consultation paper: Draft guidance on risk indicators and descriptions of managed funds. This consultation paper proposes guidance on how managed funds should describe a fund’s risk category, the methodology for calculating risk indicators, what to look out for when naming the funds to reflect their risk profile, and when to update investors when a fund’s risk category changes.
    Tags
    Offer information, Managed investment schemes, Roles, Business
    Type
    Page

  5. 28 August 2017

    FMA publishes annual corporate plan

    The Financial Markets Authority is publishing its annual corporate plan for the first time, setting out its planned regulatory activities and key areas of focus to June 2018.
    Tags
    Governance, Media release, FMA, News & Insights
    Type
    Page

  6. 14 June 2010

    Investment Adviser and Broker Banned

    Former Timaru-based investment adviser Neville Ian Cant, found guilty of forgery and theft, is banned from operating as an adviser or investment broker for five years.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  7. 16 November 2016

    Minister Collins to open Fraud Film Festival

    The inaugural International Fraud Film Festival will be opened by Hon Judith Collins, the Minister responsible for the Serious Fraud Office, on Friday, 18 November at Auckland’s Q Theatre. The festival concludes this year’s Fraud Awareness Week.
    Tags
    Campaigns, Media release, Investing, Consumer, News & Insights
    Type
    Page

  8. 28 August 2017

    Prince & Partners admits failings as Viaduct Trustee, FMA recovers $4.5 million

    Prince and Partners Trustee Company has admitted a series of failings in its role as trustee of Viaduct, a finance company that went into receivership in 2010. The civil proceedings brought by the FMA against Prince have been settled for $4.5 million. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  9. 17 December 2020

    ISB Global Miners (also known as: Waxco Trading)

    The FMA recommends exercising caution before dealing with ISB Global Miners
    (also known as: Waxco Trading), www.isbglobalminers.com and www.wxcotrading.com.
    Tags
    Suspected scam, Scams
    Type
    Page

  12. 13 November 2020

    FMA monitoring shows steady improvement in quality of listed company audits

    The Financial Markets Authority released its Audit Quality Monitoring Report for 2020. Audit quality has continued to improve, with the overall number of issues discovered by the FMA reducing over time.
    Tags
    Regulation, Media release, Auditors, Roles, Business, News & Insights
    Type
    Page

  13. 2 July 2012

    Trans-Tasman mutual recognition of financial advisers announced

    The Australian Securities & Investments Commission (ASIC) and New Zealand's Financial Markets Authority (FMA) have announced mutual recognition arrangements for Australian and New Zealand financial advisers.
    Tags
    Media release, News & Insights
    Type
    Page

  14. 15 December 2010

    Hotchin's Assets Frozen on Commission Request

    The High Court granted interim asset preservation orders in respect of assets believed to be associated with former Hanover director Mark Hotchin to the Securities Commission(FMA's predecessor). Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  15. 14 September 2022

    KiwiSaver Statements survey

    KiwiSaver statements survey to understand members’ engagement with their annual statement and attitudes towards KiwiSaver.
    Tags
    Managed investment schemes, Supervisor, Roles, KiwiSaver & Superannuation, Business, Consumer
    Type
    Page, Surveys