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  1. 30 August 2012

    FMA's first year - oversight of market conduct report

    The Financial Markets Authority has published its first report on the key issues and themes to emerge from market oversight activities in the first 12 months since it was established.
    Tags
    Media release, FMA, News & Insights
    Type
    Page

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    Consultation paper: Draft guidance on risk indicators and descriptions of managed funds

    Consultation paper: Draft guidance on risk indicators and descriptions of managed funds.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

  6. 22 March 2017

    FMA Statement on Forestlands

    FMA identified $18 million which Forestlands say is to be paid to all its investors. That money has been placed in a trust account after our discussion with a Forestlands director. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  7. 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

  8. 27 February 2015

    Pacific Financial Derivatives Limited

    Pacific Financial Derivatives Limited, FSP28944, is a licensed derivatives issuer.
    Tags
    Derivative Issuer, Licensed entity, Roles, Business
    Type
    Page

  9. 30 November 2015

    Hart Capital Partners Limited

    Hart Capital Partners Limited, FSP16981, is licensed to provide Discretionary Investment Management Services (DIMS).
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page

  10. 3 July 2015

    Paul Gerard Drummond

    Paul Gerard Drummond, FSP30203, is a licensed Independent Trustee.
    Tags
    Independent trustee, Licensed entity, Roles, Business
    Type
    Page

  13. 17 December 2014

    FMA closes South Canterbury Finance Limited inquiries

    FMA has closed its inquiries into potential civil claims relating to South Canterbury Finance Limited (SCF). After careful consideration, the FMA has decided not to take any further action. Read more.
    Tags
    Cases, Media release, Consumer, News & Insights, Enforcement
    Type
    Page

  14. 17 August 2012

    FMA welcomes ruling on asset preservation orders

    The Court of Appeal has dismissed an appeal by the trustees of the KA3 and KA4 trusts on interim asset preservation orders obtained by FMA. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  15. 23 February 2011

    Securities Commission and Nuplex Reach Settlement

    The Securities Commission and Nuplex Industries Limited have reached a full and final settlement of the matters raised in the Commission's proceedings. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page