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  2. 5 September 2013

    Joint investigation results in charges for Strategic Planning Group

    Following a joint investigation into the activities of Auckland based company Strategic Planning Group Limited (SPG), the SFO and FMA have laid charges against former financial adviser Andrew Hrothgar Robinson. Read more.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  3. 23 April 2024

    Supervisors

    Supervisors are appointed to look after investors' interests for some types of financial products and the interests of residents of retirement villages. Supervisors covered by the Financial Markets Supervisors Act 2011 (the FMS Act) are those who supervise debt securities; Registered schemes, including KiwiSaver schemes, specified managed funds and superannuation schemes, and retirement villages.View more about licensing and registration and the obligations of Supervisors in New Zealand on this page.
    Tags
    Compliance, Obligations, Licensing & registration, Roles, Business, Managed investment schemes, Supervisor
    Type
    Page

  4. 8 April 2024

    Derivatives issuers

    A derivatives issuer that makes a regulated offer of derivatives must be licensed by the FMA. This page contains information about derivatives, obligations for derivatives issuers, and who needs to comply.
    Tags
    Compliance, Derivative Issuer, Obligations, Licensing & registration, Roles, Business
    Type
    Page

  6. 29 January 2019

    Life Insurer Conduct and Culture

    Findings from an FMA and RBNZ review of conduct and culture in New Zealand life insurers
    Tags
    Roles, Conduct, Insurance Providers, Reports and Papers, Financial Institutions, Business, News & Insights
    Type
    Page, Report

  7. 7 September 2021

    COVID-19

    The FMA regularly posts information and updates relevant to the financial industry during periods of COVID-19. Please check these pages for content that may be relevant to you.
    Tags
    COVID-19, News & Insights
    Type
    Page

  8. 16 August 2023

    Speech by Clare Bolingford to the Financial Services Council Conference 2023

    Clare Bolingford, FMA Executive Director, Regulatory Delivery. Speech to the Financial Services Council Conference, 16th August 2023.
    Tags
    Speeches and presentations , Conduct, FMA people, Conduct of Financial Institutions Bill (CoFI), Business, FMA, News & Insights
    Type
    Page

  9. 4 February 2020

    KiwiSaver projections

    We can help you understand how your KiwiSaver savings projection might calculated. From April 2020, your personal annual KiwiSaver statement will show you what your KiwiSaver savings may be worth at age 65.
    Tags
    Investing, KiwiSaver & Superannuation, Consumer
    Type
    Page

  10. 14 March 2011

    First QFEs Granted

    The first Qualifying Financial Entities (QFEs) licences have been granted signalling the next step in the implementation of the new financial advisers regulatory regime.
    Tags
    Media release, News & Insights
    Type
    Page

  11. 16 April 2018

    Consultation paper: Including an annual declaration of compliance in regulatory returns and updating the standard regulatory returns condition

    Consultation paper: Including an annual declaration of compliance in regulatory returns and updating the standard regulatory returns condition. Read more.
    Tags
    Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Managed investment schemes, Peer-to-peer lending service providers, Consultations, Roles, Business
    Type
    Page

  12. 21 September 2023

    Consultation: Proposed liquidity risk management guidance

    Have your say on proposed liquidity risk management guidance outlining the essential features of effective liquidity risk management for MIS managers. Submissions close 10 November 2023.
    Tags
    Consultations, Roles, Business, Managed investment schemes, Supervisor
    Type
    Page

  13. 30 March 2020

    Hardship withdrawals a last resort – Rob Everett

    The FMA is concerned about a spike in people making hardship withdrawals from their KiwiSaver accounts during the Covid-19 outbreak.
    Tags
    COVID-19, Consumer, News & Insights
    Type
    Page

  14. 9 September 2022

    Imposter website: audaxtrading.net

    The website audaxtrading.net is not a registered Financial Service Provider in New Zealand and is falsely purporting to be associated with New Zealand entity, Audax Trading Limited.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  15. 24 August 2011

    FMA reminds Red Zone homeowners about new advice rules

    The Financial Markets Authority is reminding Canterbury residential Red Zone homeowners seeking financial advice about payout offers to check they're dealing with registered professionals.
    Tags
    Media release, News & Insights
    Type
    Page