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  3. 9 February 2022

    FMA files court proceedings alleging insider trading relating to the sale of Pushpay shares

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has filed proceedings against two individuals for alleged insider trading in relation to the sale of shares in Pushpay Holdings Limited (NZX:PPH).
    Tags
    Insider trading, Offer disclosure for equity and debt offers, Roles, Media release, Business, News & Insights, Enforcement
    Type
    Page

  5. 5 September 2013

    Joint investigation results in charges for Strategic Planning Group

    Following a joint investigation into the activities of Auckland based company Strategic Planning Group Limited (SPG), the SFO and FMA have laid charges against former financial adviser Andrew Hrothgar Robinson. Read more.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  6. 18 October 2016

    New Zealand’s latest film festival brings fraud to the big screen

    The inaugural New Zealand International Fraud Film Festival (Fraud Film Festival) is being held on 18 & 19 November at Auckland’s Q Theatre and is timed to coincide with Fraud Awareness Week. The festival is affiliated with the Dutch Fraud Film Festival which first took place in 2014.
    Tags
    Campaigns, Media release, Investing, Consumer, News & Insights
    Type
    Page

  7. 2 July 2012

    Trans-Tasman mutual recognition of financial advisers announced

    The Australian Securities & Investments Commission (ASIC) and New Zealand's Financial Markets Authority (FMA) have announced mutual recognition arrangements for Australian and New Zealand financial advisers.
    Tags
    Media release, News & Insights
    Type
    Page

  8. 13 December 2022

    Consultation paper: Review of the Small Co-operatives and Irrigation Companies Class Exemptions

    We are seeking feedback on two class exemption notices, being:
    the Financial Markets Conduct (Small Co-operatives) Exemption Notice 2021
    the Financial Markets Conduct (Irrigation Companies) Exemption Notice 2018.
    The notices provide small co-operative companies, industrial and provident societies, and irrigation companies with a lighter regulatory compliance pathway.
    Tags
    Offer disclosure for equity and debt offers, Consultations, Roles, Business
    Type
    Page, Consultation

  10. 9 July 2021

    FMA concludes inquiries into Fonterra’s 2019 financial statements and complaints relating to valuations of Beingmate and China Farms

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko - has closed its inquiries that followed Fonterra’s 2019 financial statements market announcement. The FMA did not find evidence to support regulatory action, including litigation, under the Financial Markets Conduct Act.
    Tags
    Cases, Auditors, Directors, Roles, Media release, Business, News & Insights, Enforcement
    Type
    Page

  11. 3 March 2021

    ‘Director for hire’ Michael Reps sentenced for FSPR abuse

    Michael Reps, the New Zealand-based director of Pegasus Markets Limited, has been sentenced to two months community detention and 90 hours community work after criminal charges were brought by the Financial Markets Authority (FMA) for breaches to the Financial Service Providers (Registration and Dispute Resolution) Act (FSP Act).
    Tags
    Cases, Media release, FMA, News & Insights, Enforcement
    Type
    Page

  13. 8 June 2020

    Court of Appeal rejects sentence appeal by PTT’s Steven Robertson

    The Financial Markets Authority (FMA) has welcomed the Court of Appeal’s decision to dismiss a sentence appeal by Steven Robertson, who defrauded victims of $2.1 million through PTT Limited.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  14. 15 March 2023

    Business with financial advisers and nominated representatives

    Business or individual with financial advisers and nominated representatives is a way you can operate under the new financial advice regime. See the licensing requirements; costs; duties and obligations and next steps you should follow here.
    Tags
    New Financial Advice regime, Business
    Type
    Page

  15. 29 June 2023

    Tiger Brokers to pay $900,000 penalty for multiple AML/CFT Act breaches

    The Auckland High Court has ordered Tiger Brokers (NZ) Limited to pay $900,000 for breaching the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act), in proceedings brought by the FMA.
    Tags
    Media release, AML/CFT, Enforceable action, Judgment, Roles, Business, News & Insights, Enforcement
    Type
    Page