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  2. 10 March 2021

    Financial adviser censured for code breaches

    The Financial Advisers Disciplinary Committee (FADC) has censured an Authorised Financial Advisor (AFA) following a case brought by the FMA. Read the decision on breaches and decision on penalty here.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  4. 11 March 2021

    ANZ ordered to pay $280,000 penalty for misleading representations over credit card insurance charges

    The Auckland High Court has ordered ANZ New Zealand (ANZ) to pay a $280,000 civil penalty for breaching the Financial Markets Conduct Act 2013 (FMCA) by making misleading representations in the supply of credit card repayment insurance (CCRI) to 307 of its customers.
    Tags
    Cases, Fair dealing, FMC Act, Legislation, Media release, Business, News & Insights, Enforcement
    Type
    Page

  5. 13 March 2023

    Market index exemption renewal feedback form

    Feedback form for consultation: FMA is seeking feedback on whether to renew a class exemption for MIS managers where assets do not have an appropriate market index.
    Tags
    Consultations, Roles, Business, Managed investment schemes, Supervisor
    Type
    Word document, Feedback form

  6. 13 March 2023

    Market index exemption renewal consultation paper

    Consultation document: FMA is seeking feedback on whether to renew a class exemption for MIS managers where assets do not have an appropriate market index.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF

  8. 25 June 2020

    Investor confidence holds up despite COVID-19 market volatility

    Investor confidence has remained steady for the third year running, in spite of the volatility caused by COVID-19, a Financial Markets Authority (FMA) survey has found. Read the summary and full report here.
    Tags
    Directors, New Financial Advice regime, Financial advice, Roles, Media release, Business, Consumer, News & Insights
    Type
    Page

  9. 20 February 2020

    FMA Debate discusses whether passive or active management is best

    Leaders from New Zealand’s investment industry gathered in Auckland last night (19 Feb 2020) to debate whether investors benefit more from passive or active fund management, a topic that is dividing the sector.
    Tags
    Media release, Managed funds, Campaigns, Ways to invest, Investing, Consumer, News & Insights
    Type
    Page

  10. 24 July 2020

    FMA publishes derivatives issuer Sector Risk Assessment

    A report identifying key risks in the Derivatives Issuer (DI) sector and highlighted future focus areas to improve sector compliance. Firms issuing derivatives to retail customers in New Zealand must be licensed by the FMA. The sector has approximately 23,000 accounts operated by retail customers.
    Tags
    Compliance, Cryptocurrencies, Derivatives, Governance, Regulation, Roles, Ways to invest, Investing, Media release, Business, Consumer, FMA, News & Insights
    Type
    Page

  13. 2 October 2019

    FMA bolsters senior leadership team

    The Financial Markets Authority (FMA) announced two senior appointments to its executive team, reporting directly to Chief Executive Rob Everett.
    Tags
    Governance, Media release, FMA executive team, FMA, News & Insights
    Type
    Page

  14. 10 October 2019

    KiwiSaver providers respond on member engagement but little movement on fees

    The Financial Market Authority (FMA) has published its annual KiwiSaver report for the year to the end of March 2019, showing a welcome increase in default member engagement, but few signs of a reduction in fees.
    Tags
    Media release, KiwiSaver providers, Roles, Business, Managed investment schemes, News & Insights
    Type
    Page

  15. 30 September 2019

    FMA launches managed funds guide for World Investor Week

    The FMA has published a new guide to managed funds following research suggesting more New Zealanders are considering alternative investments because of low interest rates.
    Tags
    Media release, Managed funds, Campaigns, Ways to invest, Investing, Consumer, News & Insights
    Type
    Page