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  1. 29 September 2021

    FMA appoints Karen Chang as Acting General Counsel

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has appointed its current Head of Enforcement, Karen Chang, as Acting General Counsel until the FMA’s new Chief Executive joins next year.
    Tags
    FMA people, Media release, FMA, News & Insights
    Type
    Page

  2. 15 August 2016

    FMA legislative notices supporting the FMC Act regime - August 2016

    Read our latest Regulatory update on our legislative notices work to support businesses implementing the FMC Act. This consolidates information to 15 August 2016 to give a picture of our progress and plans.
    Tags
    Regulation updates, Business
    Type
    Page

  3. 7 September 2021

    COVID-19

    The FMA regularly posts information and updates relevant to the financial industry during periods of COVID-19. Please check these pages for content that may be relevant to you.
    Tags
    COVID-19, News & Insights
    Type
    Page

  4. 19 May 2011

    Bernard Whimp and associated limited partnerships

    Mr Whimp, and six of the Limited Partnerships made offers to purchase shares in a number of public companies in the form of “Deferred Payment” Offers which were said to be misleading and deceptive, in breach of s 13 of the Securities Markets Act 1988. Read more.
    Tags
    Enforcement
    Type
    Page

  5. 26 July 2022

    Integrated financial products Review of managed fund documentation

    Findings from a review of the effectiveness of disclosure information from a sample of managed investment funds labelled or marketed as being integrated financial products (e.g. sustainable, ethical, green)
    Tags
    Ethical finance, Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF

  7. 23 August 2022

    Banks and insurers have work cut out with CoFI

    Clare Bolingford outlines what banks, insurers and non-bank deposit takers need to do to prepare for the CoFI regime.
    Tags
    Banking, Insurance Providers, Opinion, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Business, News & Insights
    Type
    Page

  8. 16 November 2022

    Audit Quality Monitoring Report 2022

    The Audit Quality Monitoring Report for 1 July 2021 – 30 June 2022. This this year’s report emphasises that high-quality audits are vital to ensuring investors can make active choices based on clear, concise, and effective information.
    Tags
    Auditors, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF, Report

  9. 28 August 2019

    Eoin Malcolm Miller Johnson

    Eoin Malcolm Miller Johnson, a former director and chairman of NZX-listed Promisia Integrative Limited (PIL), admitted to insider trading conduct and breaching a director’s disclosure obligations.
    Tags
    Insider trading, Court – civil, Powers, Enforcement
    Type
    Page

  10. 27 February 2019

    Jonathan Simon Antony Branton-Casey

    On 27 February 2019, Jonathan Branton-Casey offered, and the FMA accepted, the attached Enforceable Undertaking pursuant to section 46 of the Financial Markets Authority Act 2011. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  11. 20 May 2016

    Cambrian Corporation Limited

    The FMA has ordered a foreign exchange educator Cambrian to change its marketing materials on the basis that they were misleading or deceptive, and it had made unsubstantiated statements about its services.
    Tags
    Enforcement
    Type
    Page

  12. 22 July 2015

    Lombard Finance & Investments

    The breaches relate to Lombard's failure to disclose information to the market, such as loan book quality and liquidity, regarding the performance of its finance company subsidiary Lombard Finance and Investments Limited (LFIL). Read more.
    Tags
    Enforcement
    Type
    Page

  13. 9 April 2019

    Mark Stephen Talbot

    Mr Talbot has offered this enforceable undertaking following an investigation made by the FMA into his trading of shares in VMob Group Limited (VMob). Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  14. 24 January 2023

    Financial Markets Conduct Act

    The Financial Markets Conduct Act 2013 forms the foundation that allows the FMA to provide quality regulation in financial services and capital markets here in NZ. Read more about the Financial Markets Conduct Act here.
    Tags
    Type
    Page

  15. 5 November 2019

    alltrademarkets

    Alltrademarkets is not registered on the Financial Service Provider Registry of New Zealand, therefore, is not permitted to offer financial services to New Zealand residents.
    Tags
    Fake regulator, Suspected scam, Scams
    Type
    Page