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  1. 23 July 2019

    FMA issues Stop Order against Syndicated Trusts Limited

    The Financial Markets Authority (FMA) has issued a Stop Order against Syndicated Trusts Limited (STL), ordering the company to stop advertising or accepting money for financial products.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  3. 21 March 2014

    FMA files criminal charges following investigation into Viaduct and Mutual

    The Financial Markets Authority has filed charges under the Crimes Act and under the Companies Act against directors and another of Viaduct Capital Limited (in receivership) and Ex-MFL Limited (in Receivership) (formerly Mutual Finance Limited).
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  4. 29 January 2019

    FMA and RBNZ report on life insurer conduct and culture

    The FMA and RBNZ have completed their joint review of 16 New Zealand life insurers. This review follows the regulators’ bank review published in November 2018.
    Tags
    Life insurance, Media release, Insurance, Consumer, News & Insights
    Type
    Page

  6. 17 May 2018

    CBL Update

    The FMA intends to file a case stated procedure to seek the court’s determination on whether continuous disclosure obligations for listed issuers continue to apply when the issuer is in voluntary administration. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  8. 30 May 2018

    Financial Services Conduct and Culture Review

    RBNZ and FMA briefed the Finance and Expenditure Select committee on the Australian Royal Commission (RC) into Misconduct in Banking, Superannuation and Financial Services Industry, and the response by regulators in New Zealand.
    Tags
    Conduct, Media release, Business, News & Insights
    Type
    Page

  9. 13 July 2018

    CBL investigation update

    The FMA has completed a preliminary assessment of the information obtained as part of the CBL investigation to date and has concerns about potential breaches of the Financial Markets Conduct Act 2013 and the Companies Act 1993. Read more.
    Tags
    Media release, Cases, Business, News & Insights, Enforcement
    Type
    Page

  10. 31 July 2017

    Mark Warminger

    The FMA has issued civil proceedings seeking pecuniary penalties against Mr Warminger for trading carried out between January and August 2014. The FMA alleges that MR Warminger’s conduct amounted to market manipulation in breach of s11B of the Securities Markets Act 1988.
    Tags
    Enforcement
    Type
    Page

  11. 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

  12. 24 May 2017

    Licensing overview: what the FMA found and what firms need to know

    Common issues, hints for new applicants and a guide to the Financial Markets Authority’s (FMA) future focus are included in a review of the regulator’s first two and a half years of licensing.
    Tags
    Licensing & registration, Media release, Business, News & Insights
    Type
    Page

  14. 22 December 2021

    Medical Kiwi admits to making false and misleading statements

    Medicinal cannabis company, Medical Kiwi Limited has admitted to breaching the fair dealing provisions of the Financial Markets Conduct Act (FMCA). Read more in the media release from the FMA.
    Tags
    Crowdfunding providers, Roles, Enforceable action, Media release, Business, News & Insights, Enforcement
    Type
    Page

  15. 31 March 2016

    Guide for peer-to-peer lending services on publishing default rate information

    Guide for peer-to-peer lending services on publishing default rate information guide contains information to help peer-to-peer licensees understand and meet the minimum licensing standard to publish default rate information.
    Tags
    Roles, Business, Peer-to-peer lending service providers
    Type
    Page, Guidance