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  1. 20 June 2023

    Focus areas

    The FMA uses a range of tools to support the functioning of financial markets and services, and compliance with legislation. This section contains information about conduct regulation, ethical finance, climate related disclosures, innovation in financial markets, AML/CFT and consultations. 
    Tags
    AML/CFT, Offer information, Consultations, Exemptions, Roles, Conduct, Designations, Ethical finance, Business, FMA
    Type
    Page

  3. 25 September 2023

    '5 mins with the FMA' podcast #8: KiwiSaver Annual Report - 2023

    In this 5 mins with the FMA episode, we look at the latest KiwiSaver Annual Report, with John Horner, Director of Markets, Investors and Reporting at the FMA.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Podcast

  4. 4 October 2023

    FMA publishes final Climate Related Disclosures regime record keeping guidance

    Media release from the FMA announcing release of final guidance for Climate Reporting Entities (CREs) on meeting their record keeping obligations.
    Tags
    Media release, Climate related disclosure, Climate Reporting Entities, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Guidance

  5. 4 October 2023

    Guidance for keeping proper climate-related disclosure records

    This guidance note is intended to help climate reporting entities (CREs) meet their statutory requirement to keep proper climate-related disclosure records at all times.
    Tags
    Climate related disclosure, Climate Reporting Entities, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Guidance

  6. 5 October 2023

    FMA report: Lessons learned from Barry Kloogh Ponzi

    The FMA published a report on the findings of its inquiries following the Barry Kloogh fraud. These inquiries focused on the services provided to Kloogh by third party market participants.
    Tags
    Media release, Client money or property services provider, Financial Adviser, Roles, Business, News & Insights, Enforcement
    Type
    Page

  7. 1 November 2023

    Former financial adviser pleads guilty to dishonesty offences

    The FMA charged a former financial adviser with multiple dishonesty offences following an investigation into her conduct. 
    Tags
    Media release, Enforceable undertaking, Powers, Financial Adviser, Investigations, Roles, Business, News & Insights, Enforcement
    Type
    Page

  11. 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
    Type
    Page

  12. 20 June 2023

    Consultation: Proposed exemptions for CREs in liquidation, receivership, or voluntary administration

    The FMA is considering a class exemption to provide relief from climate reporting duties for CREs that are in liquidation, receivership, or voluntary administration. Submissions close 20 July 2023.
    Tags
    Consultations, Authorised body under a FAP, Banking, Ethical finance, Insurance Providers, Climate related disclosure, Roles, Financial Institutions, Business, Managed investment schemes
    Type
    Page

  13. 4 December 2023

    ‘5 mins with the FMA’ podcast #10: What is outcomes focused regulation?

    In this special episode of our 5 mins with the FMA podcast, we take a look at outcomes- focused regulation with Liam Mason, FMA Executive Director of Evaluation and Oversight and General Counsel.
    Tags
    Offers of financial products, Auditors, Discretionary Investment Management Services (DIMS), Managed Investment Schemes, Market operator, Supervisors, Climate Reporting Entities, Podcast, Financial Advice Provider, Derivative Issuer, Directors, Cryptocurrencies, Authorised body under a FAP, Conduct, Roles, Business, Interposed persons under new financial advice regime, News & Insights, Peer-to-peer lending service providers
    Type
    Podcast, Page

  14. 4 December 2023

    NZ Best Rates - Comparison website harvesting investor details

    We are concerned that NZ Best Rates may be operating a scam. NZ Best Rates's website claims to offer a way to compare and find the best term deposit rates in New Zealand, while also providing information on choosing term deposits.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page