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  3. 11 April 2017

    Consultation paper: Improving financial information in an equity PDS

    Consultation paper: Improving financial information in an equity PDS. Guidance for equity issuers on how to disclose financial information in product disclosure statements (PDS) in a clear, concise and effective manner.
    Tags
    Cryptocurrencies, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Consultations, Roles, Business
    Type
    Page

  4. 30 May 2018

    Compliance assurance programmes information sheet

    The information sheet is for entities holding or applying for a licence under the Financial Markets Conduct Act 2013, and anyone involved in the creation, implementation and ongoing operation of a compliance assurance programme.
    Tags
    FMC Act, Obligations, Legislation, Business
    Type
    PDF, Information Sheet

  5. 11 June 2018

    Publishing default information for peer to peer lending services 2018

    This guide contains information to help peer-to-peer licensees understand and meet the minimum licensing standard to publish default rate information. It sets out what ‘default’ means, when licensees must comply with the standard and guidelines on how to publish fair, clear and transparent information.
    Tags
    Compliance, Roles, Business, Peer-to-peer lending service providers
    Type
    PDF

  6. 13 June 2018

    Statement of Performance Expectation 2018

    Our Statement of Performance Expectations2018 outlines our short-term (annual) performance targets. It should be read in conjunction with our Statement of Intent.
    Tags
    FMA
    Type
    PDF

  9. 8 July 2022

    FMA appoints Margot Gatland to Head of Enforcement

    FMA has confirmed the appointment of Margot Gatland as its new Head of Enforcement. Ms Gatland was previously the Acting Head of Enforcement at the FMA.
    Tags
    FMA executive team, FMA people, FMA
    Type
    Page

  11. 13 July 2017

    Consultation paper: Disclosing non-GAAP financial information

    Consultation paper: Disclosing non-GAAP financial information. This guidance note communicates our expectations on presenting non-GAAP financial information, including pro-forma financial information.
    Tags
    Cryptocurrencies, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Consultations, Roles, Business, Managed investment schemes
    Type
    Page

  13. 3 July 2018

    Arena Capital/Blackfort

    Mr Ryan, also known as Lance Jared Thompson, used the forex platform BlackfortFX as a façade to encourage more than 900 investors, who were mostly from the Christchurch region, to put about $8.3 million in the Ponzi scheme. Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  15. 30 November 2022

    Fair Conduct Programmes information sheet

    This information sheet provides information and examples to help entities establish, implement and maintain their fair conduct programmes (FCPs). It will be useful for entities holding or applying for a licence to act as a financial institution under the Financial Markets Conduct Act 2013 (FMC Act), and anyone involved in establishing, implementing and maintaining an FCP.
    Tags
    Banking, Conduct, Insurance Providers, Financial Institutions, Business
    Type
    PDF