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  1. 25 August 2011

    FMA begins adviser monitoring visits

    FMA will next week begin making visits to Authorised Financial Advisers (AFAs) as it steps up its monitoring activities under the Financial Advisers Act.

    Tags
    Media release, News & Insights
    Type
    Page

  2. 1 September 2015

    KiwiSaver and beyond – turning a lump sum into a smooth income

    A survey of New Zealanders approaching retirement has found one in four people are unsure of how to manage the money in their KiwiSaver funds when they reach 65.
    Tags
    KiwiSaver & Superannuation, Media release, KiwiSaver providers, Managed investment schemes, Roles, Business, Consumer, News & Insights
    Type
    Page, Guidance

  5. 18 October 2017

    FMA allows personalised robo-advice; applications open early 2018

    The Financial Markets Authority (FMA) has decided to grant an exemption to enable personalised robo-advice and is publishing the responses to its earlier consultation. Read more.
    Tags
    Media release, Digital advice providers, Business, News & Insights
    Type
    Page

  7. 13 October 2021

    Consultation: Proposed guidance on advertising offers

    We are seeking views on proposed guidance on advertising offers of financial products under the Financial Markets Conduct Act 2013. The proposed guidance sets out our expectations of what good conduct in the advertising of financial products looks like. Feedback will be used to help us refine the proposed guidance.
    Tags
    Crowdfunding providers, Cryptocurrencies, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Managed investment schemes, Peer-to-peer lending service providers, Supervisor, Consultations, Roles, Business
    Type
    Page

  8. 20 August 2014

    FMA files civil proceedings against trustee

    The FMA has filed civil proceedings against Prince and Partners Trustee Company Limited, using the powers of section 34 of the Financial Markets Authority Act. Prince was the trustee for finance company Viaduct Capital Limited. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  10. 2 September 2010

    Draft Code to Minister for Approval

    The Commissioner for Financial Advisers, David Mayhew has approved the draft Code of Professional Conduct for Authorised Financial Advisers, and sent it to the Minister of Commerce, Hon Simon Power for his approval.
    Tags
    Media release, News & Insights
    Type
    Page

  12. 29 March 2011

    Commission Releases Risk Assessment for Sector

    The Securities Commission today released a risk assessment to help those it is responsible for supervising prepare to meet upcoming requirements of the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009.
    Tags
    Media release, News & Insights
    Type
    Page

  13. 17 March 2011

    Commission Warns About More Unsolicited Offers

    The Securities Commission is alerting investors to be wary of further unsolicited offers from NZ Investment Securities LP for Vector Limited shares and Carlyle Securities LP for Contact Energy shares.
    Tags
    Scams
    Type
    Page

  14. 4 August 2016

    Work to do on corporate governance disclosure, FMA finds

    The FMA has completed a review of corporate governance disclosures by 45 companies, listed and unlisted. Good corporate governance is one of the FMA’s strategic priorities because it is an important contributor to transparency and efficiency in capital markets. In 2014 the FMA published a Corporate Governance Handbook comprising nine corporate governance principles.
    Tags
    Directors, Governance, Reports and Papers, Roles, Media release, Business, FMA, News & Insights
    Type
    Page, Guidance

  15. 1 May 2011

    Weiss Rifkin & Partners

    Working in conjunction with Janco Lazard Transfer Company and EquiAsia
    Tags
    Suspected scam, Scams
    Type
    Page