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  1. 29 June 2020

    Statement of Performance Expectation 2020

    The Statement of Performance Expectations (SPE) is one of two documents that set out how we measure our
    future performance and report on the progress of that performance against our performance targets. This is our 2020 report.
    Tags
    Type
    PDF, Statement of Performance Expectations, Corporate publications

  2. 12 January 2022

    Statement of Performance Expectations 2016

    The Statement of Performance Expectations (SPE) is one of two documents that set out how we measure our
    future performance and report on the progress of that performance against our performance targets. This is our 2016 report.
    Tags
    Type
    PDF, Statement of Performance Expectations, Corporate publications

  3. 3 July 2014

    Review of non-filing of financial statements

    The purpose of this report is to remind directors of their statutory financial reporting obligations under the Financial
    Reporting Act 1993 (FRA), remind brokers and directors of the statutory filing obligations under the Securities Act (Contributory Mortgage) Regulations 1988, inform market participants of the findings of our review and highlight areas of concern, and inform market participants of FMA’s future focus in this area.
    Tags
    Client money or property services provider, Directors, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF

  4. 1 August 2015

    Investigations and Enforcement Report 2015

    This report highlights the key themes and issues in our investigation and enforcement activity in the year to 30 June
    2015. It is intended to provide insight into the work we do, and help businesses and professionals better understand the
    behaviour we expect.
    Tags
    Monitoring, Reports and Papers, Business, News & Insights, Enforcement
    Type
    PDF

  5. 23 May 2018

    Consultation Same Class Offers ASX NZX Exemption Notice 2018

    This consultation paper is for those who issue and offer listed financial products, investors, legal advisers, and other
    interested parties. It seeks feedback on a proposed exemption for same class offers of ASX/NZX-quoted financial
    products.
    Tags
    Market operator, Consultations, Roles, Business
    Type
    PDF

  6. 29 June 2020

    Statement of Intent 2020

    The Statement of Intent sets out how we will measure our progress against our strategic intentions in the medium term. It should be read in conjunction with the annual Statement of Performance Expectations. This is our 2020 report.
    Tags
    Type
    PDF, Statement of intent, Corporate publications

  7. 13 July 2017

    Consultation paper: Disclosing non-GAAP financial information

    Consultation paper: Disclosing non-GAAP financial information. This guidance note communicates our expectations on presenting non-GAAP financial information, including pro-forma financial information.
    Tags
    Cryptocurrencies, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Consultations, Roles, Business, Managed investment schemes
    Type
    Page

  8. 1 August 2014

    Galleass Capital NZ Limited

    Persons offering financial services in NZ without appropriate registration or authorisation from FMA and false/misleading advertising
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  9. 16 November 2021

    Saga Trade

    WARNING: We are concerned that Saga Trade may be operating a scam. We have received reports of investors being unable to withdraw their investments. Saga Trade is not a registered financial service provider in New Zealand, nor licensed in New Zealand to offer trading in derivatives, including CFDs.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  11. 9 July 2021

    FMA concludes inquiries into Fonterra’s 2019 financial statements and complaints relating to valuations of Beingmate and China Farms

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko - has closed its inquiries that followed Fonterra’s 2019 financial statements market announcement. The FMA did not find evidence to support regulatory action, including litigation, under the Financial Markets Conduct Act.
    Tags
    Cases, Auditors, Directors, Roles, Media release, Business, News & Insights, Enforcement
    Type
    Page

  12. 30 June 2020

    FMA publishes Statement of Intent and Statement of Performance Expectations

    The Financial Markets Authority (FMA) has today released the Statement of Intent (SOI) and Statement of Performance Expectations (SPE). Together the publications set out how the FMA will measure and report on progress against its performance measures and targets. Read both documents and the full media release here.
    Tags
    Media release, FMA, News & Insights
    Type
    Page