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  2. 11 October 2017

    FMA files insider trading charges

    The FMA has filed criminal charges against an individual in the Auckland District Court alleging insider trading in contravention of the Securities Markets Act 1988. Read more.
    Tags
    Insider trading, Media release, Cases, News & Insights, Enforcement
    Type
    Page

  3. 31 August 2022

    Jarden Securities Limited

    Jarden Securities Limited formerly known as First NZ Capital Securities Limited is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  5. 31 August 2022

    WEALTHDESIGN LIMITED

    WEALTHDESIGN LIMITED is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  6. 18 May 2018

    Securities and Trade Commission

    The Securities and Trade Commission is not a legitimate financial services regulator.
    Tags
    Fake regulator, Suspected scam, Scams
    Type
    Page

  8. 2 June 2020

    Customer vulnerability – our expectations for providers

    This information sheet explains the FMA’s expectations for financial services firms to prioritise a review of customer vulnerability practices in light of the COVID-19 crisis, focusing on areas we consider immediate priorities.
    Tags
    COVID-19, News & Insights
    Type
    Page

  9. 7 November 2020

    Eden GP Limited

    Eden GP Limited (FSP761251) is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  10. 2 September 2010

    Draft Code to Minister for Approval

    The Commissioner for Financial Advisers, David Mayhew has approved the draft Code of Professional Conduct for Authorised Financial Advisers, and sent it to the Minister of Commerce, Hon Simon Power for his approval.
    Tags
    Media release, News & Insights
    Type
    Page

  12. 7 September 2012

    New designated settlement system

    The Reserve Bank of New Zealand and the Financial Markets Authority (FMA) have announced that the NZ Clear Settlement System has been declared a designated settlement system under Part 5C of the Reserve Bank of New Zealand Act.
    Tags
    Media release, News & Insights
    Type
    Page

  13. 15 August 2011

    FMA orders Share Buyers Limited to include warning

    The Financial Markets Authority (FMA) has ordered Share Buyers Limited (Share Buyers) and associated persons to include a warning from FMA in a prominent position at the beginning of any document making an unsolicited offer to buy shares or other securities.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  14. 29 July 2010

    Code Committee Members Reappointed

    Commissioner for Financial Advisers David Mayhew has announced the reappointment of three members of the Code Committee. The Committee was established in July 2009 to draft a Code of Professional Conduct for Authorised Financial Advisers (AFAs).
    Tags
    Media release, News & Insights
    Type
    Page