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14 April 2021

Consultation: Proposed guidance on KiwiSaver fees and value for money

We are seeking input on the regulatory approach to the statutory requirement that KiwiSaver fees must not be unreasonable and the related overarching statutory duties.

Tags

Managed investment schemes, Supervisor, Consultations, Roles, Business

Type

Page
24 June 2020

WDC Markets

WDC Martkets may be operating a scam.

Tags

Suspected scam, Scams

Type

Page
24 November 2020

Financial Markets Conduct (ICAP Brokers Pty Limited and ICAP New Zealand Limited) Exemption Notice 2020

Financial Markets Conduct (ICAP Brokers Pty Limited and ICAP New Zealand Limited) Exemption Notice 2020

Tags

Exemptions, Secondary legislation, Business

Type

Page
14 June 2021

Financial Markets Conduct (Catalist Public Market) Exemption Notice 2021

Financial Markets Conduct (Catalist Public Market) Exemption Notice 2021

Tags

Exemptions, Secondary legislation, Business

Type

Page
11 August 2021

Financial Markets Conduct (Squirrel Investment Funds) Exemption Notice 2021

Financial Markets Conduct (Squirrel Investment Funds) Exemption Notice 2021

Tags

Exemptions, Secondary legislation, Business

Type

Page
20 October 2021

Financial Markets Conduct (Equine Bloodstock) Exemption Notice 2021

Financial Markets Conduct (Equine Bloodstock) Exemption Notice 2021

Tags

Exemptions, Secondary legislation, Business

Type

Page
18 October 2012

FMA grants auditor licensing accreditation to CPA Australia

The Financial Markets Authority has accredited accounting body CPA Australia to license auditors who carry out issuer audits in New Zealand.

Tags

Auditors, Media release, Roles, Business, News & Insights

Type

Page
9 September 2010

Commission Consults on Standard Conditions for Advisers

The Securities Commission invites submissions on proposed standard conditions for Authorised Financial Advisers.

Tags

Media release, News & Insights

Type

Page
28 August 2015

FMA releases enforcement and investigations report 2015

The Financial Markets Authority (FMA) has published its enforcement and investigations report for the year ending 30 June 2015.

Tags

Media release, News & Insights, Enforcement

Type

Page
8 December 2016

FMA releases AML/CFT monitoring report

The FMA has today published its third annual AML/CFT monitoring report.

Tags

AML/CFT, Media release, Roles, Business, News & Insights

Type

Page
23 June 2021

NZX Limited

NZX Limited is a licensed market operator.

Tags

Market operator, Roles, Licensed entity, Business

Type

Page
3 October 2014

FMA files civil proceedings against Archer Capital and Healthcare Industry

The Financial Markets Authority (FMA) has filed and served civil proceedings against Archer Capital (Pty) Limited (Archer) and Healthcare Industry Limited (HIL). Read more.

Tags

Media release, News & Insights, Enforcement

Type

Page
28 June 2013

Capital + Merchant Finance directors receive increased prison sentences

Two former directors of Capital + Merchant Finance have had their prison sentences increased following a prosecution taken by the Financial Markets Authority. Read more.

Tags

Media release, News & Insights, Enforcement

Type

Page
6 November 2012

Receivers and Managers appointed to Ross Asset Management

John Fisk and David Bridgman of PwC appointed as receivers and managers, along with experienced brokers from First NZ Capital, to manage the business of David Ross and Ross Asset Management. Read more.

Tags

Media release, News & Insights, Enforcement

Type

Page
26 April 2012

FMA welcomes Petricevic sentencing

Mr Petricevic sentenced to six and a half years imprisonment. Read more.

Tags

Media release, Cases, News & Insights, Enforcement

Type

Page