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  1. 15 July 2016

    FMA discontinues proceedings against Archer and HIL

    The Financial Markets Authority (FMA) has elected to discontinue the proceeding against Archer Capital (Pty) Limited (Archer) and Healthcare Industry Limited (HIL). The defendants, Archer and HIL, have accepted that the FMA was justified in investigating the conduct that is the subject of this claim. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  3. 21 July 2017

    Consumers tell FMA about financial providers’ conduct

    The FMA has completed its first survey of consumers’ experience of conduct. It follows the publication of the FMA’s guide to its view of conduct earlier this year. This focused on the ‘five Cs for good conduct’: capability, conflict, culture, controls and communication.
    Tags
    Conduct, Media release, Business, News & Insights
    Type
    Page

  4. 15 August 2016

    FMA warns registered financial adviser

    FMA has issued a warning to an individual in relation to suspected misleading or deceptive conduct by a registered financial adviser.
    Tags
    Media release, Financial Adviser, Enforceable Undertaking, Roles, Business, News & Insights, Enforcement
    Type
    Page

  7. 30 October 2019

    PTT’s Steven Robertson jailed for six years, eight months

    Steven Robertson has today been sentenced to six years, eight months’ imprisonment at the Auckland High Court as a result of an investigation by the Financial Markets Authority (FMA).
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  8. 4 November 2019

    FMA successfully defends FSPR appeal by FXBTG Financial Limited

    The Financial Markets Authority (FMA) has welcomed a High Court ruling upholding a direction by the FMA to de-register foreign exchange firm FXBTG Financial Limited.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  9. 22 February 2018

    FMA opens applications for personalised digital advice

    FMA is now open for applications from providers seeking to offer personalised financial advice to consumers through digital tools and platforms (so-called robo-advice).
    Tags
    Media release, Digital advice providers, Business, News & Insights
    Type
    Page

  10. 25 October 2017

    FMA commentary on ICOs and cryptocurrencies

    Investors must understand the risks involved with cryptocurrencies and associated services before they invest. Read more.
    Tags
    Cryptocurrencies, Roles, Media release, Business, Consumer, News & Insights
    Type
    Page

  11. 29 November 2017

    Key Audit Matters – A ‘stock take’ of the New Zealand experience

    The External Reporting Board (XRB) and Financial Markets Authority (FMA) have published the results of their joint analysis of Key audit matters – A stock-take of the first year in New Zealand.
    Tags
    Auditors, Media release, Roles, Business, News & Insights
    Type
    Page

  12. 4 December 2014

    FMA releases Audit Quality Review Report

    Media release relating to the launch of the FMA Audit Quality Review report 2014
    Tags
    Auditors, Media release, Roles, Business, News & Insights
    Type
    Page

  15. 17 June 2020

    FMA opens consultation on standard conditions for full licensing for financial advice

    The Financial Markets Authority (FMA) has opened consultation on the proposed full licence standard conditions for Financial Advice Providers, as part of the new financial advice regime.
    Tags
    New Financial Advice regime, Media release, Consultations, Financial Services Legislation Amendment Act (FSLAA), Business, News & Insights
    Type
    Page