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Found 2764 results. Displaying page 176 of 185

  1. 11 August 2023

    FMA issues warning to Enprise Group Limited

    The Financial Markets Authority (FMA) – has issued Enprise Group Limited (Enprise) a warning for failing to keep proper accounting records.
    Tags
    Media release, Powers, Formal warning, News & Insights, Enforcement
    Type
    Page

  4. 1 December 2014

    Quality financial reporting: how to improve financial statements

    Quality financial reporting: how to improve financial statements is a summary report on how to improve financial statements. It is intended for is for anyone involved in the preparation, audit and review of financial statements.
    Tags
    Type
    Page, Financial reporting, Guidance

  5. 31 July 2017

    Offering securities in New Zealand and Australia under mutual recognition

    The Offering securities in New Zealand and Australia under mutual recognition guide explains what issuers have to do under the trans-Tasman mutual recognition scheme when making financial product offers in Australia and New Zealand.
    Tags
    Offer information, Business
    Type
    Page, Guidance

  6. 16 August 2023

    Advisory: Financial Services Council conference speech by Clare Bolingford

    FMA, Executive Director for Regulatory Delivery, Clare Bolingford spoke to the Financial Services Council annual conference today, on the theme of building consumer confidence.
    Tags
    Media release, FMA people, Speeches and presentations , Conduct of Financial Institutions Bill (CoFI), Business, FMA, News & Insights
    Type
    Page

  7. 30 September 2018

    ERoad - Hamish Sansom and Jeffrey Peter Honey

    The FMA alleges that an Eroad employee sent text messages to a former Eroad employee that contained confidential material information relating to Eroad’s performance in the period to 30 September 2015. That individual then traded 15,000 Eroad shares. Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  8. 23 August 2023

    FMA acknowledges guilty verdict in Pushpay insider trading case

    FMA acknowledges today’s guilty verdict in the criminal trial of an individual accused of insider conduct in relation to the sale of shares in Pushpay Holdings Limited.
    Tags
    Media release, Insider trading, News & Insights, Enforcement
    Type
    Page

  9. 30 August 2023

    Gold Wise – Imposter website

    Gold Wise offers forex and cryptocurrency investments but it is not registered to provide financial services in New Zealand.
    Tags
    Imposter website, Investor warning, Consumer, Scams
    Type
    Page

  10. 8 August 2022

    Conduct

    Conduct is how market participants behave and how they serve the needs of customers. It is about how a business operates as a whole, and it’s driven by the culture and the governance of the organisation.This page explains the FMA's expectation of conduct by organisations that fall under its remit
    Tags
    AML/CFT, Roles, Conduct, Independent trustee, Financial Adviser, Financial Advice Provider, Offer disclosure for equity and debt offers, Discretionary investment management scheme (DIMS), Derivative Issuer, Directors, Cryptocurrencies, Crowdfunding providers, Client money or property services provider, Authorised body under a FAP, Auditors, Business, Interposed persons under new financial advice regime, Managed investment schemes, Market operator, Peer-to-peer lending service providers, Supervisor, Nominated representatives
    Type
    Page

  11. 28 July 2022

    Ethical Investment Journey Research

    This report contains the findings from a qualitative study interviewing a range of New Zealanders about their experience of and journey to buying an ethical* investment.
    Tags
    Ethical finance, Roles, Directors, Business, Managed investment schemes, Supervisor
    Type
    Page, Research

  12. 6 March 2017

    Point of retirement research

    The purpose of this research was to find out if financial advice helps New Zealanders manage their retirement savings.
    Tags
    Authorised body under a FAP, Financial Advice Provider, Financial Adviser, Roles, Business, Managed investment schemes
    Type
    Page, Research

  13. 8 September 2023

    Unregistered businesses

    These pages contain the names of businesses or individuals that are not registered as a financial service provider in New Zealand but may be offering financial services.
    Tags
    Investor warning, Consumer
    Type
    Page

  14. 15 March 2022

    Articles

    Articles from the FMA about the financial services industry and investing are published on this page
    Tags
    News, News & Insights
    Type
    Page

  15. 21 July 2022

    Research

    Research conducted by the FMA about financial service providers, products and consumers is published on this page.
    Tags
    News, News & Insights
    Type
    Page, Research