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  1. 7 December 2021

    AML/CFT risk ratings confirmed for sectors under FMA supervision

    A new report by the Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko - has found that derivatives issuers (DI’s) and cryptocurrency service providers are in the high risk category for meeting anti-money laundering and counter-terrorism financing obligations.
    Tags
    AML/CFT, Roles, Reporting entities, Cryptocurrencies, Media release, Business, News & Insights
    Type
    Page

  2. 21 May 2019

    FMA research highlights gap between what investors expect and what auditors deliver

    An FMA research project with investors, directors, managers and auditors has identified reasonable levels of confidence in audit quality, but also a serious gap in the expectations of investors and what auditors are delivering. The FMA commissioned the research to better understand public and industry perceptions of audit quality in New Zealand.
    Tags
    Auditors, Media release, Roles, Directors, Business, Consumer, News & Insights
    Type
    Page

  5. 25 October 2023

    Fixed Rate Options – Social media advertising harvesting investor details

    We are concerned that advertisements from “Fixed Rate Options” appearing in social media feeds may be connected to a scam. The advertisements claim to help consumers discover the “top five performing fixed term deposits in 2023”.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  7. 15 March 2021

    Guide to Product Disclosure Statements

    FMA guide to product disclosure statements for investors.
    Tags
    Bonds, Derivatives, Managed funds, Shares, Ways to invest, Investing, Article, Consumer, News & Insights
    Type
    Page

  8. 8 April 2024

    FMA introduces new standard condition on business continuity and technology systems plus new process for reporting operational incidents

    The FMA is introducing a new standard condition for certain market licence holders following consultation. The new licence condition will focus on business continuity and technology systems. The new condition will come into effect on 1 July 2024.
    Tags
    Media release, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Standard conditions, Roles, Licensing & registration, Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers
    Type
    Page

  9. 9 August 2011

    FMA announces appointment and reappointments to Code Committee

    The Board of the Financial Markets Authority has appointed Dimity Kingsford-Smith, a Professor of Law at the University of New South Wales, to the Code Committee for Authorised Financial Advisers for a term of three years.
    Tags
    Media release, News & Insights
    Type
    Page

  10. 2 June 2010

    Guide for Authorised Financial Advisers Released

    The Securities Commission today released the AFA Adviser Business Statement Guide to help financial advisers prepare for the new regulatory regime. The guide explains the document to be prepared by an adviser applying to become an Authorised Financial Adviser (AFA).
    Tags
    Media release, News & Insights
    Type
    Page, Guidance

  13. 5 October 2020

    Mary Holm’s introductory guide to investing

    Hits and Myths is an introductory guide to investing written by Mary Holm for the FMA. In this booklet she sets the record straight on eight common myths about investing. It’s a quick guide for anyone who’s thinking about or already dabbling in investing – and wants to know more.
    Tags
    Investing, Investment basics, Investing guides, Consumer
    Type
    Page

  14. 19 January 2012

    FMA and SFO sign Memorandum of Understanding

    The Financial Markets Authority (FMA) and the Serious Fraud Office (SFO) have signed a Memorandum of Understanding (MOU) which will enhance their already close working relationship and drive greater efficiencies between the two agencies.
    Tags
    Media release, FMA, News & Insights
    Type
    Page

  15. 7 July 2021

    FMA survey shows changing investor preferences and continuing confidence in the markets

    For the first time, the FMA’s 2021 Investor Confidence survey has found over 70% of investors are confident in the country’s financial markets, up from 66% in 2020. Read more about the survey and results here.
    Tags
    Crowdfunding providers, Cryptocurrencies, Directors, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Financial Adviser, Financial market infrastructures, Roles, Media release, Business, Managed investment schemes, Market operator, News & Insights, Peer-to-peer lending service providers, Nominated representatives
    Type
    Page, Surveys