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  1. 25 June 2024

    NZX Obligations Review 2024

    Findings from the FMA's review of how well NZX is meeting its licensed market operator obligations, for the period 1 January to 31 December 2023.
    Tags
    Reports and Papers, Roles, News, Business, Market operator, News & Insights
    Type
    PDF

  2. 14 June 2024

    Conduct of Financial Institutions (CoFI) legislation

    The Financial Markets (Conduct of Institutions) Amendment Act 2022 amends the Financial Markets Conduct Act 2013 to ensure certain financial institutions treat consumers fairly. CoFI is designed to protect consumers by putting the consumer at the forefront of institutions’ decisions and actions. Read more about the CoFI legislation on this page.
    Tags
    Banking, Conduct, Legislation, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Roles, Business
    Type
    Page

  3. 26 June 2024

    KiwiSaver statements help you plan for tomorrow

    Now is the time to check your KiwiSaver statement. It will arrive in the letter box, email, or via your provider’s KiwiSaver app. Don’t put it in a drawer! It’s not a bill, it’s a tool to help you plan.
    Tags
    Article, KiwiSaver & Superannuation, Opinion, Consumer, News & Insights
    Type
    Page

  4. 2 July 2024

    Booster Investment Management Limited

    The FMA filed civil proceedings against Booster Investment Management Limited (BIML), a wholly owned subsidiary of Booster Financial Services Limited.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  5. 26 June 2024

    FMA Update

    We provide regular communications as part of our efforts to ensure you have access to the appropriate resources to help you make informed decisions – whether you are an industry professional or regular investor. Our monthly market update is called the FMA Update. Subscribe here.
    Tags
    Campaigns, News & Insights
    Type
    Page

  7. 2 July 2024

    Soul Capital Designated Business Group

    Soul Capital Designated Business Group (DBG) includes Soul Capital Limited, Te Pae ki te Rangi Limited Partnership.
    Tags
    Reporting entities, Roles, Business, Designated Business Group (DBG)
    Type
    Page

  9. 2 July 2024

    Soul Capital Limited

    Soul Capital Limited is an AML/CFT reporting entity
    Tags
    Type
    Page

  12. 21 May 2024

    Official Information Act (OIA) requests

    The Official Information Act 1982 (OIA) gives New Zealanders the right to request official information. We are committed to carrying out our functions and responsibilities in an open, transparent and accountable manner. We will publish OIA statistics and some responses to requests for information every quarter.
    Tags
    Type
    Page, OIA
    • Suspected scam

    13 May 2024

    Fake Celebrity Investment Scam – Multiple trading platforms

    The FMA has received several reports regarding fake celebrity or fake influencer endorsement advertisements on social media, promoting online investment schemes.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  14. 2 July 2024

    Fair Conduct Programme

    A fair conduct programme (FCP) means effective policies, processes, systems and controls that are designed to ensure the financial institution’s compliance with the fair conduct principle.
    Tags
    Banking, Conduct, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Managed Investment Schemes, Roles, Business, Managed investment schemes
    Type
    Page

  15. 3 July 2024

    FMA censures deVere for breaching its licence obligations

    The FMA has censured Auckland-based financial services firm deVere New Zealand Limited (deVere) for failing to comply with obligations under its Financial Advice Provider (FAP) licence.
    Tags
    Media release, Authorised body under a FAP, Financial Advice Provider, Financial Adviser, Enforceable undertaking, Roles, Powers, Business, News & Insights, Enforcement
    Type
    Page