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  2. 29 February 2012

    FMA warns of illegal offer by Makko Securities to advise on Facebook IPO

    The Financial Markets Authority is warning the public of an illegal offer by Makko Securities and its Senior Account Manager, Roy Lochen, to provide broking services in relation to the proposed Initial Public Offering of Facebook and other securities.
    Tags
    Media release, Formal warning, Powers, News & Insights, Enforcement
    Type
    Page

  4. 2 May 2011

    FMA Issues Whimp Warning

    The Financial Markets Authority (FMA) has today issued a warning about unsolicited offers that may be made by Mr Bernard Whimp and entities associated with him.
    Tags
    Media release, Formal warning, Powers, News & Insights, Enforcement
    Type
    Page

  6. 25 May 2015

    Apple Fields directors fined on non-filing charges

    The two directors of Apple Fields Limited have today been fined $30,000 each at the Christchurch District Court for breaches of the Financial Reporting Act 1993.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  7. 24 May 2011

    Incomplete Applications Slow AFA Approvals

    Up to 700 financial advisers may have to stop giving advice on KiwiSaver, managed funds and other investment products on 1 July because they haven't completed the qualifications needed to be an Authorised Financial Adviser (AFA).
    Tags
    Media release, News & Insights
    Type
    Page

  8. 28 January 2015

    FMA and NZX sign Memorandum of Understanding

    FMA and NZX have signed a Memorandum of Understanding. The MoU sets out the framework for engagement and co-operation between the FMA and NZX, taking into account their complementary regulatory responsibilities for New Zealand’s capital markets.
    Tags
    Governance, Media release, FMA, News & Insights
    Type
    Page

  9. 22 June 2015

    Settlement reached over ASB rural interest rate swaps

    The Financial Markets Authority (FMA) has reached a settlement with ASB regarding the sale, promotion and marketing of interest rate swaps to some rural customers.
    Tags
    Media release, Conduct, Business, News & Insights
    Type
    Page

  10. 8 June 2012

    FMA releases final guidance on Effective Disclosure

    The Financial Markets Authority (FMA) has released its final guidance note for issuers, directors and advisers on Effective Disclosure.
    Tags
    Media release, News & Insights
    Type
    Page, Guidance

  12. 1 March 2022

    FMA censures CTRL Investments for derivatives issuer licence breaches

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has censured CTRL Investments Limited for contravening the conditions of its derivatives issuer (DI) licence.
    Tags
    Enforceable action, Derivative Issuer, Roles, Media release, Business, News & Insights, Enforcement
    Type
    Page

  13. 27 March 2023

    Cambridge Asset Management unreasonably withholding funds

    WARNING: FMA is aware of a New Zealand investor unable to withdraw funds invested with Cambridge Asset Management.
    Tags
    Suspected scam, Investor warning, Derivative Issuer, Roles, Business, Consumer, Scams
    Type
    Page

  15. 6 October 2021

    Hearings

    The FMA will provide you with an opportunity for a hearing in person in certain circumstances if you are impacted by a decision of the FMA. If you have the right to a hearing, we will let you know. This page outlines our approach to conducting hearings and explains the process we follow if you are entitled to a hearing and request one.
    Tags
    Activity, Enforcement
    Type
    Page