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  1. 29 July 2020

    MBIE announcement on FMA levies

    MBIE have announced details of FMA levy amounts for 2021/22 and 2022/23.
    Tags
    Media release, FMA, News & Insights
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    Page

  2. 30 June 2020

    FMA publishes NZX Obligations annual review 2020

    NZX met its statutory obligations as a licensed market operator for the period 1 January to 31 December 2019, according to the Financial Markets Authority (FMA)’s annual review. The NZX General Obligations Review, published by the FMA today, found that NZX complied with its market operator obligations during the review period. Read the full media release and NZX General Obligations Review here.
    Tags
    Shares, Roles, Ways to invest, Investing, Media release, Business, Consumer, Market operator, News & Insights
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    Page

  3. 17 June 2020

    FMA statement on director liability and continuous disclosure

    The Financial Markets Authority (FMA) has considered the need for regulatory relief in relation to director liability thresholds, following changes in Australia.
    Tags
    Directors, Roles, Media release, Business, News & Insights
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    Page

  4. 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
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    Page

  6. 30 October 2019

    FMA publishes 2019 annual report

    The annual report detail the results we have achieved against our stated intentions. These results then feedback into our next cycle of direction-setting, planning, implementation and review. The annual report is a great way to review our operational highlights for the financial year.
    Tags
    Media release, Governance, FMA, News & Insights
    Type
    Page

  7. 26 September 2019

    FMA seeking feedback on responsible investment products

    The Financial Markets Authority is seeking views on how green bonds and other responsible investment products should be described, labelled and promoted to investors.
    Tags
    Bonds, Ways to invest, Investing, Media release, Consumer, News & Insights
    Type
    Page

  8. 19 June 2020

    FMA publishes Auditor Regulation and Oversight Plan

    The plan sets out the areas the FMA will focus on as part of its role in reviewing the quality of Financial Markets Conduct Act audits, and contributing to the integrity and development of the audit profession.
    Tags
    Media release, Auditors, Roles, Business, News & Insights
    Type
    Page

  9. 17 December 2019

    FMA files civil proceedings against CBL Corporation, its directors and chief financial officer

    The FMA has issued two sets of civil proceedings in the Auckland High Court against CBL Corporation Limited (In liquidation) (CBLC), the six directors and the chief financial officer alleging multiple breaches of the Financial Markets Conduct Act 2013 (“FMC Act”). The FMA is seeking declarations of contravention¹ and civil pecuniary penalties in both proceedings.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  10. 29 November 2019

    Council of Financial Regulators sets work priorities for 2020

    The Council of Financial Regulators (CoFR) has announced its work priorities for the coming year.
    The work programme includes seven separate work streams, each led by one of the CoFR agencies, but involving all the members (alongside other government agencies as necessary) in a coordinated effort to tackle issues that reach across the financial system.
    Tags
    Media release, Governance, FMA, News & Insights
    Type
    Page

  11. 13 December 2019

    FMA clarifies green bond disclosure requirements

    The Financial Markets Authority (FMA) has published an information sheet outlining when issuers of securities described as “green bonds” can apply the “same class exclusion” to disclosure requirements.
    Tags
    FMC Act, Offer information, Legislation, Media release, Business, News & Insights
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    Page

  13. 5 December 2019

    Peer-to-peer lending and crowdfunding 2019 data published

    The Financial Markets Authority (FMA) published the 3rd statistical report on peer-to-peer lending (P2P) and crowdfunding services in New Zealand.
    The annual snapshot for the year to 30 June 2019 shows increasing participation in P2P lending services and decreasing participation in crowdfunding services.
    Tags
    Media release, Crowdfunding providers, Roles, Business, News & Insights, Peer-to-peer lending service providers
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  14. 13 May 2019

    10 formal AML/CFT warnings issued by FMA

    The Financial Markets Authority (FMA) has issued formal warnings to 10 reporting entities under Section 80 of the Anti-Money Laundering and Countering Financing of Terrorism Act (AML/CFT Act). Read more.
    Tags
    AML/CFT, Media release, Roles, Formal warning, AML/CFT formal warning, Powers, Business, News & Insights, Enforcement
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  15. 4 September 2019

    FMA cancels Barry Kloogh’s financial adviser authorisation

    The Financial Markets Authority (FMA) has cancelled the authorisation of Dunedin-based Mr Barry Edward Kloogh to act as a financial adviser, as a result of concerns regarding compliance with his broker obligations under the Financial Advisers Act 2008.
    Tags
    Financial advice, Compliance, Media release, Business, Consumer, News & Insights, Enforcement
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