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  1. 1 December 2016

    The end of the beginning for the new regime in financial services

    A decade in the making, today marks the beginning of a new era in the regulation of New Zealand’s financial markets. The introduction of a stronger regime overseeing financial markets, based on the good conduct of providers, has been in train since before the establishment of the Capital Markets Development Taskforce in 2008.
    Tags
    New Financial Advice regime, Media release, Business, News & Insights
    Type
    Page

  2. 8 February 2017

    FMA lays charges under the Crimes Act

    An individual registered financial adviser appeared in the Auckland District Court yesterday in relation to various charges laid by the FMA under the Crimes Act.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  3. 20 September 2016

    Fraud and its far reaching effects hit the big screen

    The inaugural New Zealand International Fraud Film Festival (Fraud Film Festival) is coming to Auckland’s Q Theatre in November. The festival is timed to coincide with November’s Fraud Awareness Week and will open on Friday, 18 November.
    Tags
    Campaigns, Media release, Investing, Consumer, News & Insights
    Type
    Page

  4. 17 April 2019

    BAT Financial Management

    A warning was issued in relation to BAT Financial Management and the website www.BATFinancialmanagement.com and associated persons Dan Johnson and William Davies. Read more.
    Tags
    Suspected scam, Scams
    Type
    Page

  5. 11 April 2017

    Guilty plea in insider trading case

    An individual today pleaded guilty at the Auckland District Court to one charge of insider trading under section 243 Financial Markets Conduct Act - namely, being an information insider advising or encouraging another person to trade. Read more.
    Tags
    Insider trading, Media release, Cases, News & Insights, Enforcement
    Type
    Page

  6. 15 December 2022

    ASX 24 derivatives market and SGX-DT reviews released

    FMA has published the findings of its market operator obligations reviews for the Australian Securities Exchange Limited (ASX 24 derivatives market) and Singapore Exchange Derivatives Trading Limited (SGX-DT dairy derivatives market).
    Tags
    Media release, Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    Page

  7. 17 October 2016

    CMS Trader

    CMS Trader, Pandorx Ventures Limited, CMS Ventures Limited, and Steven David Hutton are not registered in New Zealand to offer financial services in or from New Zealand.
    Tags
    International regulator alerts, Scams
    Type
    Page

  8. 25 February 2013

    Ajay Kumar Vallabhaneni

    Mr Vallabhaneni is no longer authorised to provide financial adviser services.
    Tags
    Unregistered business, Investor warning, Consumer, Scams
    Type
    Page

  9. 21 June 2022

    Future Ready Advice Summit highlights

    Transcript of FMA’s Director of Market Engagement John Botica speech at the FSC’s Future Ready Advice Summit in Queenstown on June 14, 2022.
    Tags
    Financial Advice Provider, Financial Adviser, Roles, Speeches and presentations , Business
    Type
    Page

  10. 14 May 2021

    New default KiwiSaver settings designed to benefit members

    The Financial Markets Authority - Te Mana Tātai Hokohoko (FMA) notes the Government’s announcement today regarding new KiwiSaver default provider arrangements, these include new settings that offer a package of benefits for default KiwiSaver members.
    Tags
    Media release, KiwiSaver providers, Roles, Business, Consumer, Managed investment schemes, News & Insights, Supervisor
    Type
    Page

  11. 24 January 2019

    NZX & FMA initiate industry review: Capital Markets 2029

    NZX and FMA have initiated an industry-led review of New Zealand’s capital markets. Capital Markets 2029 is designed to deliver a ten-year vision and growth agenda for the sector.
    Tags
    Media release, Roles, Business, News & Insights, Market operator
    Type
    Page

  12. 1 March 2019

    ASX 24 derivatives market review

    The FMA published the findings of its obligations review of the ASX 24 derivatives market. See more in our media release.
    Tags
    Derivatives, Ways to invest, Investing, Media release, Consumer, News & Insights
    Type
    Page

  13. 21 December 2022

    AML/CFT

    The Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the Act) and its regulations place obligations on New Zealand’s financial institutions to detect and deter money laundering and terrorism financing. Find out more about your AML/CFT obligations on this page.
    Tags
    AML/CFT, Roles, Obligations, Reporting entities, AML/CFT act 2009, Legislation, Business
    Type
    Page

  14. 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
    Page

  15. 22 December 2023

    CBL

    FMA has reached agreement with CBL Corporation Limited (In Liquidation) (CBLC) and four of CBL's former directors in respect of the FMA's claims of continuous disclosure breaches and misleading conduct
    Tags
    Court – civil, Powers, Enforcement
    Type
    Page