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  2. 28 June 2013

    More charges laid against David Ross

    Three more charges have been laid by the Financial Markets Authority (FMA) against David Ross alleging breaches of financial markets legislation. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  3. 5 October 2017

    KiwiSaver continues to grow - FMA continues to push providers on customer engagement

    The FMA’s annual KiwiSaver report based on returns as at 31 March 2017 shows total assets were up $7 billion from $33.8 billion in 2016. Investment returns of $2.7 billion were more than double those of 2016, and are close to the previous record $3 billion, reported in 2015.
    Tags
    KiwiSaver providers, Media release, Managed investment schemes, Roles, Business, News & Insights
    Type
    Page

  4. 8 July 2011

    Share Buyers Limited

    Unsolicited offers – the amount offered per share is less than the current market price of the shares.
    Tags
    Suspected scam, Scams
    Type
    Page

  5. 29 January 2019

    TradeFintech

    TradeFintech scam
    Tags
    Suspected scam, Scams
    Type
    Page

  7. 29 August 2019

    www.rncapitalalliance.com

    The FMA recommends taking caution when dealing with www.rncapitalalliance.com as they could be involved in a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  9. 26 June 2013

    Guilty pleas in Dominion Finance case

    Vance Arkinstall and Richard Bettle each pleaded guilty to five Securities Act charges including making untrue statements in a Dominion Finance investment statement and extension certificate, and making an untrue statement in a North South Finance extension certificate. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  11. 13 September 2011

    New Council to support close regulatory cooperation

    A new Council of Financial Regulators has been established to foster cooperation between financial and prudential regulators in New Zealand.
    Tags
    Media release, News & Insights
    Type
    Page

  12. 6 May 2011

    FMA Orders Whimp to Disclose Warning

    The FMA has ordered Mr Bernard Whimp and associated persons to include a warning from FMA at the beginning of any unsolicited offer they may make. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  13. 8 November 2016

    FMA issues updated guidance on KiwiSaver advice for consultation

    The FMA is consulting on revised guidance on advice for KiwiSaver sales. The intention of the revised guidance, published today for consultation, is to encourage advisers and financial firms to help New Zealanders make good decisions about KiwiSaver.
    Tags
    KiwiSaver providers, Media release, Managed investment schemes, Roles, Business, News & Insights
    Type
    Page

  15. 26 April 2012

    FMA welcomes Petricevic sentencing

    Mr Petricevic sentenced to six and a half years imprisonment. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page