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  1. 25 June 2012

    FMA consults on guidance on KiwiSaver sales and distribution

    The Financial Markets Authority is consulting on draft guidance for people involved with the sale and distribution of KiwiSaver schemes.
    Tags
    KiwiSaver providers, Media release, Managed investment schemes, Roles, Business, News & Insights
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    Page

  2. 6 September 2010

    Updated Guide for Financial Entities

    The Securities Commission today released an updated edition of its QFE Adviser Business Statement Guide reflecting changes to the Financial Advisers Act.
    Tags
    Media release, News & Insights
    Type
    Page

  6. 12 March 2015

    MSL Capital Markets Limited

    We issued a formal warning to MSL for failing to perform its audit of its AML/CFT risk assessment and AML/CFT programme by 31 October 2014 and to provide a copy of the audit report to us.
    Tags
    AML/CFT, Enforceable action, Roles, Formal warning, AML/CFT formal warning, Powers, Business, Enforcement
    Type
    Page

  7. 14 April 2021

    FMA expects KiwiSaver managers to follow four key principles to show value for money

    Fund managers are expected to annually review their fees and value for money with their supervisors and prove to the Financial Markets Authority (FMA) the review has happened, as a result of final guidance on fund manager fees and value for money, published today (14/4/2021).
    Tags
    KiwiSaver providers, Managed funds, Media release, Roles, Ways to invest, Investing, Business, Consumer, Managed investment schemes, News & Insights
    Type
    Page

  8. 11 October 2021

    FMA censures Firma NZ for breaches to derivatives issuer licence obligations

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has censured Firma Foreign Exchange Corporation (NZ) Limited after finding it had materially contravened a number of its obligations as a licensed derivatives issuer (DI).
    Tags
    Derivative Issuer, Enforceable action, Roles, Media release, Business, News & Insights, Enforcement
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    Page

  9. 1 February 2013

    NZ finance company collapses (2006–2012)

    The scale and circumstances of the Finance industry failure since 2006 gave rise to concerns of inappropriate behaviour and breaches of the Securities Act and a programme of investigations into the failures was initiated. Read more.
    Tags
    Enforcement
    Type
    Page

  10. 16 February 2022

    FMA investor profile - David Chadwick

    This month’s FMA Investor Profile features David Chadwick, a 33-year-old new dad and finance professional working remotely in Auckland for a global pharmaceuticals company.
    Tags
    Investing, Insights, Article, Consumer, News & Insights
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    Page

  11. 16 June 2023

    FMA warns New Zealanders of comparison website harvesting investor details

    FMA is urging New Zealanders to exercise extreme caution when dealing with a phony interest rates comparison website. The FMA believes the website is harvesting users’ personal information for criminals to sell fake investments.
    Tags
    Media release, Suspected scam, Investor warning, Consumer, News & Insights, Scams
    Type
    Page

  13. 1 February 2013

    NZ finance company collapses (2006–2012)

    The scale and circumstances of the Finance industry failure since 2006 gave rise to concerns of inappropriate behaviour and breaches of the Securities Act and a programme of investigations into the failures was initiated. Read more.
    Tags
    Enforcement
    Type
    Page

  15. 8 May 2023

    Contact

    Find out how to contact the FMA if you wish to ask us a question; make a complaint; contact our helplines, visit our offices or make a media enquiry.
    Tags
    FMA
    Type
    Page