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  2. 16 November 2022

    FMA finds continuing improvements to audit quality

    FMA releases Audit Quality Monitoring Report for 2021/22, Findings show that audit firms have improved their record keeping.
    Tags
    Auditors, Media release, Reports and Papers, Roles, Directors, Business, News & Insights
    Type
    Page

  3. 31 May 2024

    FMA cancels Stockfox Limited’s FAP licence

    The FMA has cancelled Stockfox Limited’s (Stockfox) Financial Advice Provider (FAP) licence with effect from 30 May 2024.
    Tags
    Media release, Authorised body under a FAP, Financial Advice Provider, Financial Adviser, Enforceable undertaking, Licence cancellation, Roles, Powers, Business, News & Insights, Enforcement, Nominated representatives
    Type
    Page

  5. 6 March 2014

    Contributory mortgage broker pleads guilty

    Prudential Mortgage Limited, a contributory mortgage broking firm, has been convicted and fined $2,000 for failing to deliver its annual report to the Registrar of Companies by 30 June 2013. Prudential pleaded guilty to the charge laid by the FMA. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page, Financial reporting

  6. 27 March 2014

    Investors better informed about low ball offers

    FMA says in a report that new regulations are assisting investors to make better informed decisions about unsolicited or low ball offers. The report also acknowledges that companies whose investors have been targeted have contributed to investors being better informed.
    Tags
    Media release, Consumer, News & Insights
    Type
    Page

  7. 8 June 2015

    Dominion Finance Group and North South Finance

    Securities Commission alleged that the directors made false statements in the Dominion Finance Group registered prospectus dated 13 September 2007, as amended by an extension certificate 20 December 2007 and the North South Finance registered prospectus dated 11 September 2007, as amended by an extension certificate 20 December 2007. Read more.
    Tags
    Misleading statement, Breach, Enforcement
    Type
    Page

  9. 29 May 2014

    FMA issues formal warning to St Laurence directors - investigation closed

    The Financial Markets Authority (FMA) has closed its investigation into St Laurence Limited (in liquidation) and has formally warned eight directors of St Laurence Limited in respect of potential breaches of the Securities Act.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  10. 27 November 2017

    FMA publishes first peer-to-peer/crowdfunding statistical returns

    The Financial Markets Authority (FMA) today published its first statistical report on peer-to-peer lending and crowdfunding in New Zealand.
    Tags
    Crowdfunding providers, Media release, Roles, Business, News & Insights, Peer-to-peer lending service providers
    Type
    Page

  13. 30 November 2023

    Regulatory co-operation

    The FMA co-ordinates our efforts and we share intelligence with other government agencies via the Council of Financial Regulators (CoFR). Find out more about the Council of Financial Regulators (CoFR) and other global agencies we co-operate with here.
    Tags
    Regulatory cooperation, FMA
    Type
    Page

  14. 21 July 2022

    Regulatory approach

    We expect all market participants to pursue the objectives and spirit of regulation rather than the letter of the law. We supervise and monitor market participants in line with our statutory objectives. We supervise and monitor market participants in line with our statutory objectives. Where we see misconduct in financial markets, we seek to hold those responsible to account. These pages provide you more information on our regulatory and enforcement approach.
    Tags
    Regulation, Regulatory cooperation, Business, FMA
    Type
    Page

  15. 4 August 2022

    FMA survey sheds light on New Zealanders’ experiences with financial sector and concepts of fair treatment

    Research from the FMA reveals insights into the mindset and motivations of consumers as they manage their money and deal with financial services firms.
    Tags
    Crowdfunding providers, Directors, Derivative Issuer, Banking, Media release, Insurance Providers, Roles, Discretionary investment management scheme (DIMS), Offer information, Conduct of Financial Institutions Bill (CoFI), Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers, Supervisor
    Type
    Page