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  1. 19 March 2024

    Licensing application guide - Derivatives issuers PART B5

    Your guide to applying for a derivative issuer market service licence under the Financial Markets Conduct Act. Please make sure you read this guide in conjunction with our ‘Part A’ licensing guide.
    Tags
    Derivative Issuer, Licence guide, Roles, Licensing & registration, Business
    Type
    PDF

  2. 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

  3. 18 June 2015

    Milford Asset Management to pay $1.5 million following FMA investigation

    The FMA has reached an agreement with Milford to resolve the issues relating to Milford (but excluding the trader) arising from the investigation, under which Milford has agreed to make payments totalling $1.5m. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  5. 24 August 2022

    '5 mins with the FMA' podcast #2: Conduct of Financial Institutions (CoFI)

    FMA’s Director of Banking and Insurance Conduct, Clare Bolingford, talks about the Conduct of Financial Institutions (CoFI) regime in this FMA podcast.
    Tags
    Podcast, Financial Adviser, Banking, Insurance Providers, Roles, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Managed Investment Schemes, Business, Managed investment schemes, News & Insights
    Type
    Page, Podcast

  7. 27 March 2013

    Consultation Paper: Class exemption review

    Consultation Paper: Class exemption review. The FMA has undertaken a review of 44 class exemption notices expiring in 2012. Read more here.
    Tags
    Consultations, Exemptions, Business
    Type
    Page

  8. 27 March 2013

    Consultation Paper: Class exemption review

    Consultation Paper: Class exemption review. The FMA has undertaken a review of 44 class exemption notices expiring in 2012. Read more here.
    Tags
    Consultations, Exemptions, Business
    Type
    Page

  10. 16 December 2022

    Avoiding the financial hangover this Christmas

    FMA’s Manager of Investor Capability Tammy Peyper shares her tips for a special Christmas season that doesn’t break the bank.
    Tags
    Article, Consumer, News & Insights
    Type
    Page

  11. 16 January 2024

    Insurance

    When you buy insurance products, you have certain rights and your provider has obligations to make sure you're treated fairly and those products suit your needs. The FMA monitors both insurers and the financial advisers selling insurance products to ensure they are delivering those outcomes.

    Tags
    Insurance, Life insurance, General and other insurance, Consumer
    Type
    Page

  12. 3 October 2022

    World Investor Week 2022

    “A goal without a plan is just a wish” Having a well-thought-out plan is an important first step in your investing journey. Learn more #WorldInvestorWeek2022
    Tags
    World Investor Week, Campaigns, Investing, Consumer
    Type
    Page

  14. 31 August 2022

    Securities Act (Amalgamations)

    Securities Act (Amalgamations) - expired exemption notice
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page