Back

Search results

Found 2523 results. Displaying page 146 of 169

  1. 3 May 2019

    Company convicted for abuse of the FSPR

    Morgan DeVere Corporate Finance Limited (Morgan DeVere) has been convicted at the Wellington District Court on two counts of breaching the Financial Services Providers Act 2008 (FSP Act) for falsely claiming it was registered on the Financial Services Providers Register (FSPR). A copy of the judgment can be found here. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  3. 29 March 2019

    FADC Findings published

    The Financial Advisers Disciplinary Committee (FADC) has published its findings in a case referred to the Committee by the FMA. Read more.
    Tags
    Media release, Financial Adviser, Roles, Business, News & Insights
    Type
    Page

  5. 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

  7. 24 January 2019

    NZX & FMA initiate industry review: Capital Markets 2029

    NZX and FMA have initiated an industry-led review of New Zealand’s capital markets. Capital Markets 2029 is designed to deliver a ten-year vision and growth agenda for the sector.
    Tags
    Media release, Roles, Business, News & Insights, Market operator
    Type
    Page

  8. 30 November 2018

    FMA reports on Wynyard investigation

    FMA has published the findings of its investigation into Wynyard Group Limited’s (Wynyard) compliance with continuous disclosure and fair dealing obligations.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  9. 26 November 2018

    FMA publishes 2018 Audit Quality Report & Directors’ Guide

    The FMA's Audit Quality Report 2018 expresses concern at the continued inconsistencies in audits provided by the same firm, while noting the overall quality of audits has improved in recent years.
    Tags
    Auditors, Directors, Media release, Roles, Business, News & Insights
    Type
    Page

  10. 4 October 2018

    FMA issues infringement notice to Pacific Eagle Capital

    The Financial Markets Authority (FMA) has issued an infringement notice to Pacific Eagle Capital (PEC) for failing to file financial statements by its due date.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  11. 9 October 2018

    KiwiSaver nears $50 billion in 2018

    KiwiSaver continues to grow steadily according to the FMA’s 2018 KiwiSaver report.
    Tags
    KiwiSaver providers, Media release, Roles, Business, Managed investment schemes, News & Insights
    Type
    Page

  12. 25 October 2018

    FMA publishes annual report 2018

    FMA annual report for the financial year ending June 30 2018. The report highlights a number of key activities that took place in the year, including the launch of the joint FMA/RBNZ Culture and Conduct review of banks and life insurers.
    Tags
    Governance, Media release, FMA, News & Insights
    Type
    Page

  14. 15 March 2023

    Single adviser business

    Single adviser business is a way you can operate under the new financial advice regime. The licence can be in your business name (if, for example, you run your business through a company and your company will hold the licence with you as the individual adviser) or your individual name, if you personally hold the licence in your own name. See the licensing requirements; costs; duties and obligations and next steps to take here.
    Tags
    New Financial Advice regime, Business
    Type
    Page

  15. 15 March 2023

    Business with financial advisers and nominated representatives

    Business or individual with financial advisers and nominated representatives is a way you can operate under the new financial advice regime. See the licensing requirements; costs; duties and obligations and next steps you should follow here.
    Tags
    New Financial Advice regime, Business
    Type
    Page