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  1. 23 February 2011

    Nuplex Industries Limited

    The Commission alleged that from 22 December 2008 until 19 February 2009 Nuplex breached its continuous disclosure obligations under the NZX Listing Rules and the Securities Markets Act 1988 by failing to disclose to the market a breach of a banking covenant, and that both Nuplex and the directors are responsible for this failure. Read more.
    Tags
    Settlement, Enforcement
    Type
    Page

  2. 9 March 2017

    FMA files charges for insider trading

    The FMA has filed charges in the Auckland District Court alleging breaches of the insider trading prohibitions contained in the Financial Markets Conduct Act 2013 (FMCA). The charges were filed in relation to trading in shares of Eroad (NZX:ERD). The individuals charged are a current and a former Eroad employee.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  3. 12 August 2021

    FMA accuses CEO of market manipulation for anonymous posts on investor forum

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has filed civil High Court proceedings against Matthew Geoffrey Hill, the Chief Executive Officer of NZX-listed New Talisman Gold Mines Limited (NTL), for alleged information-based market manipulation and making false and misleading representations. The case relates to anonymous posts Mr Hill made about the company on the Sharetrader website’s online investor forum.
    Tags
    Cases, Directors, Roles, Offer information, Media release, Business, News & Insights, Enforcement
    Type
    Page

  5. 28 May 2024

    Matthew Hill to pay $100,000 penalty for breaching financial markets legislation

    The High Court has imposed a pecuniary penalty of $100,000 against Matthew Geoffrey Hill, the former Chief Executive Officer of NZX-listed New Talisman Gold Mines Limited, for making false and misleading representations in breach of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Media release, Investing, Business, Consumer, News & Insights, Enforcement
    Type
    Page

  6. 28 November 2014

    Phase two of financial markets law completes long-term overhaul

    The second phase of New Zealand’s new capital markets and financial services law takes effect from 1 December. Phase two includes licensing provisions that extend to several hundred further businesses, and a major shift in the quality of investor disclosure for financial products.
    Tags
    FMC Act, Legislation, Media release, Business, News & Insights
    Type
    Page

  8. 20 November 2014

    The FMA reports on its 12 month performance

    The Financial Markets Authority (FMA) has published its 2014 annual report for the year ended 30 June 2014. During this period the FMA began implementing the largest statutory change in financial services in 30 years. Engaging with the industry to implement the Financial Markets Conduct Act 2013(FMC Act) was one of six major achievements outlined in the report, as the FMA continued to deliver its ongoing regulatory responsibilities.
    Tags
    Media release, FMA, News & Insights
    Type
    Page, Financial reporting

  9. 17 August 2017

    Not all bonds are equal – FMA survey

    Over 1 million New Zealanders have more than $15 billion invested in conservative or default KiwiSaver funds, mostly invested in fixed-interest assets, including bonds. However, only four in ten KiwiSaver members surveyed by the FMA knew that most funds invest in bonds.
    Tags
    Bonds, Campaigns, Media release, Ways to invest, Investing, Consumer, News & Insights
    Type
    Page

  10. 2 October 2015

    The FMA publishes first annual report under the new regulatory regime

    The Financial Markets Authority (FMA) chief executive Rob Everett has told a trans-Tasman audience that it will be four to five years before New Zealand sees the full economic and business benefits of the new financial services regulatory regime.
    Tags
    Governance, Media release, FMA, News & Insights
    Type
    Page

  11. 15 March 2021

    Working with a financial adviser

    Learn what it's like working with an adviser. All advisers must follow the new Code of professional conduct for Financial Advice Services. The code says an adviser must: treat clients fairly, act with integrity,
    have competence, knowledge, and skill, give suitable advice, and ensure it’s understood properly. They must also protect client information.
    Tags
    Financial advice, Get advice, Investing, Consumer
    Type
    Page

  12. 3 October 2022

    World Investor Week 2022

    “A goal without a plan is just a wish” Having a well-thought-out plan is an important first step in your investing journey. Learn more #WorldInvestorWeek2022
    Tags
    World Investor Week, Campaigns, Investing, Consumer
    Type
    Page

  13. 6 July 2016

    KiwiSaver annual statements are being read but not acted upon

    The Financial Markets Authority has released the results of a survey conducted in May this year, to coincide with the time when most KiwiSaver investors are receiving their annual statements. The survey was responded to by 1,313 KiwiSaver investors, two thirds of the total sample.
    Tags
    KiwiSaver providers, Media release, Managed investment schemes, Roles, Business, News & Insights
    Type
    Page

  14. 30 September 2022

    AIA to pay $700,000 penalty for false and misleading representations to customers

    The Auckland High Court has ordered life insurer AIA to pay a pecuniary penalty of $700,000 for making false and/or misleading representations to some customers, following proceedings brought by the FMA.
    Tags
    Media release, Investigations, Judgment, Insurance Providers, Business, News & Insights, Enforcement
    Type
    Page

  15. 18 September 2020

    FMA files criminal charges in relation to Forestlands

    The Financial Markets Authority has filed criminal charges against an individual in relation to the Forestlands group of companies, for alleged disclosure and financial record keeping breaches.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page