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  1. 1 December 2014

    Exemptions: Financial Advisers Act 2008 guidance note

    This guidance note explains the approach of the Financial Markets Authority (the FMA) to granting exemptions under the Financial Advisers Act 2008. It is intended to provide answers to commonly asked questions in relation to exemptions and to provide information to potential applicants on the process for making an application.
    Tags
    Type
    PDF, Guidance

  2. 30 July 2019

    Payments to social media influencers - OIA request

    OIA response, dated 30 July 2019, where costs were queried in relation to three public awareness campaigns in which social media influencers received payment for posts.
    Tags
    FMA
    Type
    PDF, OIA

  3. 1 August 2019

    Interest rate swap investigation - OIA request

    OIA response, dated 1 August 2019, which looked at the investigation by the FMA in 2012-2013 into banks marketing, promoting and selling interest rate swaps between 2005 and 2009. As well as complaints surrounding interest rate swap and the final settlement number with the banks.
    Tags
    FMA
    Type
    PDF, OIA

  4. 4 October 2019

    Psychometric testing - OIA request

    OIA response, dated 4 October 2019, which psychometric testing occurred as part of initiatives by the FMA and costs associated during the period 1 July 2017 to 30 June 2019
    Tags
    FMA
    Type
    PDF, OIA

  7. 18 December 2019

    Conduct and Culture implementation and planning from banks - OIA request

    OIA response, dated 18 December 2019, discussing bank plans and progress on implementation of the Conduct and Culture report changes and what types of action the FMA will take if it is unsatisfied with the outcome or urgency of the banks’
    behaviour in establishing or implementing said plans
    Tags
    FMA
    Type
    PDF, OIA

  8. 15 October 2020

    AML warnings - OIA request

    OIA response, dated 15 October 2020, looking at the total number of non-public formal warnings issued until June 2020 and he calendar or reporting years in which these were issued
    Tags
    FMA
    Type
    PDF, OIA

  10. 21 May 2021

    Costs of FADC case - OIA request

    OIA response, dated 21 May 2021, costs incurred from investigation commencement to completion by FMA and FADC relating to FADC case reference FADC 010
    Tags
    Type
    PDF, OIA

  12. 12 November 2020

    Cases Investigated - OIA request

    OIA response, dated 12 November 2020, questions asked around the policies, documents, communications and number of cases / prosecutions the FMA has assessed between 1 July 2017 - 12 November 2020
    Tags
    FMA
    Type
    PDF, OIA

  13. 20 August 2022

    FMA organisation chart - OIA request

    OIAP response dated 20 August 2021, FMA organisation charts - Request for the FMA’s current organisation chart
    Tags
    Type
    PDF, OIA

  14. 26 January 2024

    FX Fortune Bitmart – Imposter website, duplicate websites

    FMA has received a complaint that FX Fortune Bitmart is withholding client funds and requesting advance fees to have them released. They are offering financial services are not a registered Financial Service Provider.
    Tags
    Imposter website, Scams
    Type
    Page

  15. 5 December 2022

    How to identify a product disclosure statement (PDS) or prospectus scam

    FMA has issued this article about how to identify and avoid PDS or prospectus scams as a result of an increase in fake investment documents targeting New Zealand investors.
    Tags
    Investor information, Suspected scam, Article, Consumer, News & Insights, Scams
    Type
    Page