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  1. 29 July 2010

    Code Committee Members Reappointed

    Commissioner for Financial Advisers David Mayhew has announced the reappointment of three members of the Code Committee. The Committee was established in July 2009 to draft a Code of Professional Conduct for Authorised Financial Advisers (AFAs).
    Tags
    Media release, News & Insights
    Type
    Page

  2. 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

  3. 29 July 2021

    FMA releases cyber resilience info sheet for financial advice providers

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko - has today published an information sheet containing principles and resources to help licensed financial advice providers develop their cyber resilience.
    Tags
    Financial Advice Provider, Roles, Media release, Business, News & Insights
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    Page

  4. 28 July 2016

    FMA releases conduct guide for feedback

    FMA has released a guide to how it will examine whether financial services providers are demonstrating good conduct under the Financial Markets Conduct Act (FMC Act).
    Tags
    Conduct, Media release, Business, News & Insights
    Type
    Page

  6. 19 October 2017

    The FMA and ASIC confirm trans-Tasman collaborative approach to fintech

    The Financial Markets Authority (FMA) and the Australian Securities and Investment Commission (ASIC) have reaffirmed their commitment to collaboration and cooperation on the expanding opportunities in fintech and innovation.
    Tags
    Media release, FMA, News & Insights
    Type
    Page

  11. 5 April 2022

    Clare Bolingford speech at FSC Connect

    Transcript of speech by FMA's Director of Banking and Insurance, Clare Bollingford, at FSC Connect Panel where she talks about emerging trends in conduct regulation.
    Tags
    Financial Advice Provider, FMA people, Roles, Speeches and presentations , Conduct of Financial Institutions Bill (CoFI), Business, FMA, News & Insights
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  12. 9 November 2016

    Exo Capital Markets Limited trading as Trade 12

    Exo Capital Markets Limited trading as Trade 12 The company is not registered on the FSPR and therefore they are not allowed to offer financial services in New Zealand. .
    Tags
    International regulator alerts, Scams
    Type
    Page

  13. 12 March 2013

    Home detention for National Finance director

    National Finance director Anthony Banbrook has today been sentenced to eight and a half months' home detention and ordered to pay $75,000 in reparations in a prosecution taken by the FMA. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  15. 31 August 2022

    BRITANNIA FINANCIAL PLANNING LIMITED

    BRITANNIA FINANCIAL PLANNING LIMITED is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page