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  1. 16 November 2022

    FMA finds continuing improvements to audit quality

    FMA releases Audit Quality Monitoring Report for 2021/22, Findings show that audit firms have improved their record keeping.
    Tags
    Auditors, Media release, Reports and Papers, Roles, Directors, Business, News & Insights
    Type
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  3. 23 November 2022

    FMC Act exemptions

    List of Markets Conduct Act exemptions.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  5. 15 September 2022

    FMA Investor Profile – Sev Ozan

    Our latest Investor Profile is on Sev Ozan, a multi-hyphenate who has an active interest in investing.
    Tags
    Ways to invest, Shares, Investing, Article, Consumer, News & Insights
    Type
    Page

  7. 27 August 2021

    Connected with a con: Nisha met a scammer on LinkedIn

    Nisha contacted the FMA in May 2021 to report a scam targeting users of popular social media platform Linkedin. She had connected with a woman who convinced her to invest with an entity called Standard Coin Options, which then insisted she pay them ‘tax’ before they would release her ‘profits’
    Tags
    Consumer, Scams
    Type
    Page

  8. 24 November 2017

    Fullerton Markets

    The FMA has issued a formal AML/CFT warning to Fullerton Markets. Read more.
    Tags
    AML/CFT, Enforceable action, Roles, Business, Enforcement
    Type
    Page

  10. 17 January 2018

    Trustees Executors Limited

    Trustees Executors Limited, FSP37383, is licensed by the FMA as Supervisor.
    Tags
    Roles, Licensed entity, Reporting entities, Business, Supervisor
    Type
    Page

  11. 17 January 2023

    Public Trust

    Published Trust, FSP24561, is licensed by the FMA as Supervisor.
    Tags
    Roles, Licensed entity, Reporting entities, Business, Supervisor
    Type
    Page

  12. 16 August 2019

    Viaduct Capital & Mutual Finance

    Paul Bublitz was found guilty of four charges of theft by a person in a special relationship and two charges of false statement by a promoter. He was sentenced to 3 years two months imprisonment for each of the charges, to be served concurrently. Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  13. 22 December 2020

    Rodney McCall and Morgan Cooper Limited

    The FMA alleges Mr McCall contacted people and convinced them to ‘invest’ by transferring money into bank accounts he controlled. After incorporating a company, Morgan Cooper Limited, he further cold-called other investors to promote a foreign exchange investment service which did not exist.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  14. 18 January 2023

    FMA appoints Stuart Johnson to new Chief Economist role

    We have appointed Stuart Johnson to the newly created role of Chief Economist. Stuart joins the FMA from London, UK, where he has been Head of Behavioural Economics, Conduct Risk and Customer Experience, at major international banking and insurance firms since 2015.
    Tags
    Media release, News & Insights
    Type
    Page

  15. 28 August 2017

    Prince and Partners

    In taking these proceedings, it was the first time FMA brought s 34 case and acted in the place of the investors in Viaduct who lost most of their investments when Viaduct was put into receivership. Read more.
    Tags
    Court – civil, Powers, Enforcement
    Type
    Page