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  3. 11 September 2023

    Campaigns

    The FMA works with a number of partners around the world to increase awareness of investing, KiwiSaver and Scams. This page displays our campaign activity.
    Tags
    Investing, Campaigns, Campaigns, Consumer, News & Insights
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  5. 2 November 2023

    Vaquita Capital – Overseas warnings, withholding investor funds

    Vaquita Capital uses a number of different names including Vaquita Fund, Vaquita Fund SLP, Vaquita Services Limited, I-Global Management and Robinson and Cooper Wealth Management.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
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  6. 13 November 2023

    Make a complaint

    We investigate a range of complaints about the conduct of individuals and businesses that operate in our financial markets. This page talks about when you should complain to us and who better to contact for complaints that fall outside of our remit. You will also find out how to make a complaint and the information we need in order to process a complaint.
    Tags
    Complaint, Business
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  7. 5 September 2023

    Governance Thematic Review

    A joint RBNZ and FMA thematic review examining the policies, processes and operational practices of boards of financial institutions in key areas of governance.
    Tags
    Directors, Banking, Conduct, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Roles, Reports and Papers, Business, News & Insights
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    Page

  8. 14 December 2023

    SGX-DT review report

    Findings from the FMA’s reviews of how well Singapore Exchange Derivatives Trading Limited (SGX-DT) is meeting its market operator obligations under the FMC Act 2013.
    Tags
    Reports and Papers, Roles, Derivative Issuer, Business, News & Insights, Market operator
    Type
    Page

  9. 2 February 2024

    Forbes Capital Partners – Suspected scam

    Investor warning: We received a complaint that representatives of FCP had befriended a NZ resident on social media and encouraged him to invest money. When he attempted to withdraw his money, FCP withheld the funds and told him to pay an advance fee.
    Tags
    Suspected scam, Scams
    Type
    Page

  11. 22 December 2023

    Changes to FMA executive leadership team

    The FMA said today that Paul Gregory, Executive Director, Response and Enforcement has resigned and accepted a role with ANZ Investment Management.
    Tags
    Media release, FMA executive team, FMA, News & Insights
    Type
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  13. 15 November 2023

    Consultation: Proposed fair outcomes for consumers and markets

    Have your say on the proposed fair outcomes and approach that will form the basis of how the FMA engages with financial service providers. Submissions are now closed.
    Tags
    Consultations, Authorised body under a FAP, Client money or property services provider, Cryptocurrencies, Directors, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Crowdfunding Service Provider, Offers of financial products, Derivative Issuer, Independent Trustee, Peer to peer lending provider, Roles, Compliance, Business, Interposed persons under new financial advice regime, Managed investment schemes, Supervisor
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  14. 21 February 2005

    South Pacific Energy Limited and Calgary Petroleum

    South Pacific and Calgary offered undertakings to the Securities Commission after Commissions concern that they may have offered securities to the public in contravention of the Securities Act. The undertakings will ensure that no such breaches occur in the future. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  15. 11 April 2016

    Stephen Duff

    Stephen Duff (also known as Nick Duff) offered, and the FMA accepted, the attached Enforceable Undertaking pursuant to section 46 of the Financial Markets Authority Act 2011. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page