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  1. 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

  2. 10 March 2021

    Consultation: Recognition of Australian adviser qualifications

    Consultation: Recognition of Australian adviser qualifications. When the new regime is in force, we propose to recognise that individual Australian advisers demonstrate the competence, knowledge and skill standards set by the Code if they hold certain Australian adviser qualifications, and to confirm this in a statement on our website.
    Tags
    Financial Adviser, Roles, Consultations, Business
    Type
    Page

  4. 6 August 2020

    MetalsWise / MetalWise

    We are concerned that Metalwise (formerly MetalsWise) may be operating a scam.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  5. 26 April 2012

    FMA welcomes Petricevic sentencing

    Mr Petricevic sentenced to six and a half years imprisonment. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  6. 14 June 2013

    Home detention for Dominion Finance directors

    Two former directors of Dominion Finance have today been sentenced to home detention after pleading guilty to Securities Act charges laid by the Financial Markets Authority. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  7. 5 December 2013

    FMA releases stakeholder feedback report

    The Financial Markets Authority (FMA) has released the findings of the 2013 FMA stakeholder feedback report.
    Tags
    Media release, News & Insights
    Type
    Page

  8. 10 May 2013

    Guilty plea in Dominion Finance case

    A former director of Dominion Finance Group and North South Finance, Ann Butler, has pleaded guilty to misleading investors in a prosecution taken by the Financial Markets Authority. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  9. 24 May 2013

    Another Dominion Finance director pleads guilty to FMA charges

    A former director of Dominion Finance Group and North South Finance, Robert Barry Whale, has pleaded guilty to seven Securities Act charges of misleading investors in a prosecution taken by the Financial Markets Authority. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  11. 6 August 2019

    Westpac

    Westpac accepted that it may have contravened fair dealing provisions of the Financial Markets Conduct Act (FMCA) and/or possible breaches relating to consumer credit contracts under the Fair Trading Act (FTA).
    Tags
    Fair dealing, Enforceable Undertaking, Business, Enforcement
    Type
    Page

  12. 6 July 2018

    Garry James Patterson

    The FMA has filed charges against Garry James Patterson alleging he was or was holding out as being, in the business of providing financial services in contravention of the Financial Service Providers (Registration and Dispute Resolution) Act 2008 (FSP Act). Read more.
    Tags
    Enforcement
    Type
    Page

  13. 5 December 2019

    Peer-to-peer lending and crowdfunding 2019 data published

    The Financial Markets Authority (FMA) published the 3rd statistical report on peer-to-peer lending (P2P) and crowdfunding services in New Zealand.
    The annual snapshot for the year to 30 June 2019 shows increasing participation in P2P lending services and decreasing participation in crowdfunding services.
    Tags
    Media release, Crowdfunding providers, Roles, Business, News & Insights, Peer-to-peer lending service providers
    Type
    Page

  15. 21 March 2014

    FMA files criminal charges following investigation into Viaduct and Mutual

    The Financial Markets Authority has filed charges under the Crimes Act and under the Companies Act against directors and another of Viaduct Capital Limited (in receivership) and Ex-MFL Limited (in Receivership) (formerly Mutual Finance Limited).
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page