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  1. 21 June 2022

    Future Ready Advice Summit highlights

    Transcript of FMA’s Director of Market Engagement John Botica speech at the FSC’s Future Ready Advice Summit in Queenstown on June 14, 2022.
    Tags
    Financial Advice Provider, Financial Adviser, Roles, Speeches and presentations , Business
    Type
    Page

  3. 18 November 2019

    Investors’ guide to auditing

    FMA guide to auditing for investors.
    Tags
    Investment basics, Investing, Article, Consumer, News & Insights
    Type
    Page

  5. 9 September 2013

    FMA announcement on finance company cases

    The Financial Markets Authority (FMA) has announced that it has completed investigations into four of its remaining finance company cases.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  6. 6 July 2016

    KiwiSaver annual statements are being read but not acted upon

    The Financial Markets Authority has released the results of a survey conducted in May this year, to coincide with the time when most KiwiSaver investors are receiving their annual statements. The survey was responded to by 1,313 KiwiSaver investors, two thirds of the total sample.
    Tags
    KiwiSaver providers, Media release, Managed investment schemes, Roles, Business, News & Insights
    Type
    Page

  7. 5 June 2014

    FMA confirms settlement with Strategic Finance Directors and Auditors

    FMA and the Receivers of Strategic, John Fisk and Colin McCloy of PwC, have finalised a settlement with the directors and auditors of Strategic. Under the terms of the settlement, the directors and auditors will pay to the Receivers of Strategic $22 million. Read more.
    Tags
    Media release, News & Insights
    Type
    Page

  9. 27 July 2020

    Keeping our eyes on the road ahead

    FMA CE, Rob Everett, talks about FMA plans during COVID-19 response and recovery.
    Tags
    COVID-19, FMA stories, Council of financial regulators (CoFR), Regulation, Speeches and presentations , Business, FMA, News & Insights
    Type
    Page

  11. 24 September 2020

    FMA reports on monitoring of financial services firms and advisers

    A report on the FMA's supervision activities over the past 18 months says large parts of the financial services sector are working hard to meet the FMA’s expectations, but called for further and more widespread improvements to governance and compliance.
    Tags
    Compliance, Derivatives, Directors, Regulation, Regulation updates, Ways to invest, Investing, Roles, Media release, Business, Consumer, News & Insights
    Type
    Page, Guidance

  12. 13 February 2015

    Action against non-filing of financial statements pays off

    A new report released today by FMA shows the proportion of companies filing their financial statements on time has improved significantly since the FMA’s initial review in 2014.
    Tags
    Media release, News & Insights
    Type
    Page

  14. 15 February 2023

    FMA issues interim stop order to Validus and its associated persons

    The Financial Markets Authority has issued an Interim Stop Order (Order) to Validus and Associates (registered in Delaware, USA) pursuant to section 465 of the Financial Markets Conduct Act 2013 (the Act).
    Tags
    Media release, Enforceable Undertaking, News & Insights, Enforcement
    Type
    Page

  15. 27 October 2021

    FMA investor profile - Imogen O’Neill

    We talk to investor and PR Director, Imogen O’Neill in this FMA Investor Profile.
    Tags
    Investor information, Article, Consumer, News & Insights
    Type
    Page