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  1. 24 July 2019

    Investor confidence stable and improving over time

    Confidence in New Zealand’s financial markets has remained stable over the past two years, despite volatile global markets and a focus on the culture and conduct of major financial institutions in Australia and New Zealand.
    Tags
    Media release, News & Insights
    Type
    Page

  2. 15 April 2019

    FMA files civil proceedings over trading in Oceania Natural

    The FMA has issued civil proceedings in the High Court against four individuals in relation to trading in Oceania Natural Limited. The proceedings relate to alleged breaches of market manipulation prohibitions and the disclosure obligations in the Financial Markets Conduct Act 2013. Read more.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  3. 15 November 2018

    Incentives for bank staff too highly focused on sales - November 2018

    The Financial Markets Authority (FMA) published Bank Incentive Structures, its thematic review of how banks in New Zealand incentivise their staff. The report sits alongside the recently published joint FMA/Reserve Bank of New Zealand Conduct and Culture review of New Zealand’s banks.
    Tags
    Banking, Media release, Business, News & Insights
    Type
    Page

  4. 27 February 2019

    The ingredients for successful KiwiSaver communications

    The results of a second FMA, MBIE and industry trial demonstrates using communications based on behavioural insights encourages KiwiSaver members to make an active choice about their investment. The report, “Using behavioural insights to improve KiwiSaver outcomes” was published today.
    Tags
    KiwiSaver providers, Media release, Roles, Business, Managed investment schemes, News & Insights
    Type
    Page, Guidance

  6. 25 October 2018

    FMA publishes annual report 2018

    FMA annual report for the financial year ending June 30 2018. The report highlights a number of key activities that took place in the year, including the launch of the joint FMA/RBNZ Culture and Conduct review of banks and life insurers.
    Tags
    Governance, Media release, FMA, News & Insights
    Type
    Page

  7. 15 March 2023

    Business with financial advisers and nominated representatives

    Business or individual with financial advisers and nominated representatives is a way you can operate under the new financial advice regime. See the licensing requirements; costs; duties and obligations and next steps you should follow here.
    Tags
    New Financial Advice regime, Business
    Type
    Page

  8. 15 March 2023

    Business with nominated representatives

    Business or individual with nominated representatives is a way you can operate under the new financial advice regime. See the licensing requirements; costs; duties and obligations, and next steps you should follow here.
    Tags
    New Financial Advice regime, Business
    Type
    Page

  9. 15 May 2018

    Second company and director charged over FSPR abuse

    Second company and director charged over FSPR abuse. The company is charged with two counts of breaching section 12 of the FSP Act.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  10. 15 May 2018

    FMA releases fourth AFA information report

    FMA published statistical report on Authorised Financial Advisers (AFAs) in New Zealand for 2017. The FMA requires AFAs to submit an annual information return each year.
    Tags
    Financial Advice Provider, Media release, Roles, Business, News & Insights
    Type
    Page

  11. 30 May 2018

    Financial Services Conduct and Culture Review

    RBNZ and FMA briefed the Finance and Expenditure Select committee on the Australian Royal Commission (RC) into Misconduct in Banking, Superannuation and Financial Services Industry, and the response by regulators in New Zealand.
    Tags
    Conduct, Media release, Business, News & Insights
    Type
    Page

  12. 28 June 2018

    Annual review of NZX published

    NZX generally complied with its obligations during the review period. However, a lack of market experience in its market surveillance function meant NZX did not meet its obligation to have adequate arrangements to monitor the conduct of participants on, or in relation to its markets.
    Tags
    Media release, Roles, Business, Market operator, News & Insights
    Type
    Page

  13. 18 May 2018

    FMA campaign to connect young women with KiwiSaver

    The FMA has developed a KiwiSaver health checker tool to help people answer four important questions about their account.
    Tags
    KiwiSaver providers, Campaigns, Media release, Roles, Investing, Business, Consumer, Managed investment schemes, News & Insights
    Type
    Page

  15. 25 October 2017

    FMA commentary on ICOs and cryptocurrencies

    Investors must understand the risks involved with cryptocurrencies and associated services before they invest. Read more.
    Tags
    Cryptocurrencies, Roles, Media release, Business, Consumer, News & Insights
    Type
    Page