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  1. 27 February 2019

    Jonathan Simon Antony Branton-Casey

    On 27 February 2019, Jonathan Branton-Casey 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

  2. 13 October 2021

    FMA issues guidance on advertising of financial products

    The Financial Markets Authority (FMA) issues guidance on how firms should be advertising financial products. Read the media release.
    Tags
    Directors, Roles, Crowdfunding providers, Cryptocurrencies, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Media release, Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers, Nominated representatives
    Type
    Page, Guidance

  3. 6 December 2021

    FMA COVID-19 Vaccination Protocol

    To help us minimise the risk of COVID-19 being transmitted at work, we have introduced a protocol which requires anyone working in or visiting any FMA office (or attending any events we host on or off-site) to be fully vaccinated against COVID 19. This policy will come into effect on Monday 6 December.
    Tags
    COVID-19, News & Insights
    Type
    Page

  4. 31 August 2022

    Securities Act (Amalgamations)

    Securities Act (Amalgamations) - expired exemption notice
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  5. 20 July 2021

    Offer disclosure for equity and debt offers

    Issuers are involved in first making a financial product available. The FMC Act has requirements for financial product offer information. See those requirements, financial reporting obligations, accountability framework for managed investment schemes and debt securities on this page.
    Tags
    Compliance, Offer disclosure for equity and debt offers, Obligations, FMC Act, Roles, Legislation, Business
    Type
    Page

  6. 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

  12. 13 July 2017

    Anthony Norman Wilson

    Wilson admitted three charges of making a false document for pecuniary advantage and one charge of dishonestly using a document for pecuniary advantage. Read more.
    Tags
    Cases, Court – criminal, Powers, Enforcement
    Type
    Page

  14. 23 March 2020

    FMA COVID-19 Update 23 March 2020

    Update 23 March 2020: The Government has confirmed that financial services are essential services that need to continue to operate when New Zealand moves to Level 4 in its COVID-19 response.
    Tags
    COVID-19, Directors, Roles, Business, News & Insights
    Type
    Page

  15. 4 July 2023

    Capital Gold Investment – False claims, withholding funds

    Capital Gold Investment is falsely claiming to be a New Zealand company, using a NZ Business Number (NZBN) of another company that has been removed from the New Zealand Companies Register.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page