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  2. 22 December 2020

    Privacy Statement

    The Financial Markets Authority is committed to ensuring your privacy is protected. Read our Privacy policy here.
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  4. 22 September 2020

    FMA prevents CLSA Premium NZ Limited (formerly KVB Kunlun) from offering derivatives to retail investors

    The Financial Markets Authority (FMA) has imposed conditions on the derivatives issuer licence of CLSA Premium New Zealand Limited (CLSAP NZ, formerly KVB Kunlun) that prevent the firm from making an offer to or receiving further funds from, retail investors in relation to derivatives.
    Tags
    Derivatives, Regulation, Ways to invest, Investing, Media release, Business, Consumer, News & Insights, Enforcement
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    Page, Financial reporting

  6. 11 October 2021

    FMA censures Firma NZ for breaches to derivatives issuer licence obligations

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has censured Firma Foreign Exchange Corporation (NZ) Limited after finding it had materially contravened a number of its obligations as a licensed derivatives issuer (DI).
    Tags
    Derivative Issuer, Enforceable action, Roles, Media release, Business, News & Insights, Enforcement
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    Page

  7. 6 October 2021

    Adviser profile – Christine Hay on her FAP licensing journey

    Christine Hay, sole adviser for and Managing Director of Hawke’s Bay financial advice provider, Financial Sense Limited talkks to the FMA about becoming a fully licensed financial advice provider.
    Tags
    Licensing & registration, Roles, Financial Advice Provider, Article, Business, News & Insights
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    Page

  8. 5 December 2022

    How to identify a product disclosure statement (PDS) or prospectus scam

    FMA has issued this article about how to identify and avoid PDS or prospectus scams as a result of an increase in fake investment documents targeting New Zealand investors.
    Tags
    Investor information, Suspected scam, Article, Consumer, News & Insights, Scams
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    Page

  9. 13 December 2022

    Consultation paper: Review of the Small Co-operatives and Irrigation Companies Class Exemptions

    We are seeking feedback on two class exemption notices, being:
    the Financial Markets Conduct (Small Co-operatives) Exemption Notice 2021
    the Financial Markets Conduct (Irrigation Companies) Exemption Notice 2018.
    The notices provide small co-operative companies, industrial and provident societies, and irrigation companies with a lighter regulatory compliance pathway.
    Tags
    Offer disclosure for equity and debt offers, Consultations, Roles, Business
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    Page, Consultation

  11. 28 January 2022

    New default engagement requirements a cue for all KiwiSaver providers

    Gillian Boyes comments on the new default engagement requirements for all KiwiSaver providers amid the Government default KiwiSaver provider announcements.
    Tags
    FMA stories, Roles, Article, Business, Managed investment schemes, News & Insights
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    Page