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  2. 12 March 2015

    MSL Capital Markets Limited

    We issued a formal warning to MSL for failing to perform its audit of its AML/CFT risk assessment and AML/CFT programme by 31 October 2014 and to provide a copy of the audit report to us.
    Tags
    AML/CFT, Enforceable action, Roles, Formal warning, AML/CFT formal warning, Powers, Business, Enforcement
    Type
    Page

  3. 5 October 2020

    Investing Myth #2: 'KiwiSaver isn’t a real investment'

    Mary Holm debunks the myth, ‘KiwiSaver isn’t a real investment’ and talks about the difference between KiwiSaver and other managed funds on this page.
    Tags
    Investment basics, Investing, KiwiSaver & Superannuation, Consumer
    Type
    Page

  4. 13 March 2024

    Natalie Ann Carter

    Between 2018 and 2020, former financial adviser, Ms Carter created various false documents for the purpose of obtaining home loans for herself and two clients.This page documents the case against Ms Carter.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  5. 5 September 2023

    RBNZ and FMA Governance Thematic Review outlines good practices and areas for improvement

    A cross-sector thematic review of regulated entities’ governance practices by the Reserve Bank of New Zealand (RBNZ) and the Financial Markets Authority (FMA) has highlighted the need for boards to be focused on continuous improvement to ensure future success.
    Tags
    Media release, Directors, Insurance Providers, Roles, Conduct, Conduct of Financial Institutions Bill (CoFI), Business, News & Insights
    Type
    Page

  6. 27 August 2021

    Connected with a con: Nisha met a scammer on LinkedIn

    Nisha contacted the FMA in May 2021 to report a scam targeting users of popular social media platform Linkedin. She had connected with a woman who convinced her to invest with an entity called Standard Coin Options, which then insisted she pay them ‘tax’ before they would release her ‘profits’
    Tags
    Consumer, Scams
    Type
    Page

  7. 25 June 2018

    Consultation paper: Proposed exemption from requirement to name assets

    Consultation paper: Proposed class exemption from requirement to name assets. Proposed class exemption from having to disclose the names of individual borrowers to investors provided other relevant information has been disclosed.
    Tags
    Managed investment schemes, Supervisor, Consultations, Roles, Business
    Type
    Page

  8. 25 September 2023

    '5 mins with the FMA' podcast #8: KiwiSaver Annual Report - 2023

    In this 5 mins with the FMA episode, we look at the latest KiwiSaver Annual Report, with John Horner, Director of Markets, Investors and Reporting at the FMA.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Podcast

  9. 5 May 2017

    KiwiSaver trial to target decision-making a decade out from retirement

    The FMA is working with ANZ to see if behavioural insights can prompt more ANZ KiwiSaver members to get retirement advice, or use retirement-planning tools when they hit 56 years old.
    Tags
    KiwiSaver providers, Media release, Managed investment schemes, Roles, Business, News & Insights
    Type
    Page

  10. 16 December 2020

    FMA publishes 2020 annual report

    The Financial Markets Authority (FMA) has today published its annual report for year to June 2020.
    Tags
    COVID-19, FMA stories, Governance, New Financial Advice regime, Media release, Business, FMA, News & Insights
    Type
    Page

  11. 21 May 2019

    FMA research highlights gap between what investors expect and what auditors deliver

    An FMA research project with investors, directors, managers and auditors has identified reasonable levels of confidence in audit quality, but also a serious gap in the expectations of investors and what auditors are delivering. The FMA commissioned the research to better understand public and industry perceptions of audit quality in New Zealand.
    Tags
    Auditors, Media release, Roles, Directors, Business, Consumer, News & Insights
    Type
    Page

  12. 15 November 2023

    FMA opens consultation on fair outcomes for consumers and markets

    FMA has opened consultation on its approach to outcomes focused regulation, including the fair outcomes for consumers and markets it wants to see financial service providers focus on. The FMA welcomes feedback from all its stakeholders. 
    Tags
    Media release, Conduct, Business, News & Insights
    Type
    Page

  13. 25 June 2024

    Time for your annual KiwiSaver health check

    The FMA and the Retirement Commission are together calling on KiwiSaver members to check their annual statements this year and see if they are on track for their retirement savings goals.
    Tags
    Media release, KiwiSaver & Superannuation, Consumer, News & Insights
    Type
    Page

  14. 23 April 2024

    Supervisors

    Supervisors are appointed to look after investors' interests for some types of financial products and the interests of residents of retirement villages. Supervisors covered by the Financial Markets Supervisors Act 2011 (the FMS Act) are those who supervise debt securities; Registered schemes, including KiwiSaver schemes, specified managed funds and superannuation schemes, and retirement villages.View more about licensing and registration and the obligations of Supervisors in New Zealand on this page.
    Tags
    Compliance, Obligations, Licensing & registration, Roles, Business, Managed investment schemes, Supervisor
    Type
    Page

  15. 31 August 2021

    tradinginsiders.eu

    Forex Insiders also known as Forex Insiders Trading, Trading Insiders and Success Factory may be operating a scam.
    Tags
    Suspected scam, Scams
    Type
    Page