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  2. 30 October 2019

    PTT’s Steven Robertson jailed for six years, eight months

    Steven Robertson has today been sentenced to six years, eight months’ imprisonment at the Auckland High Court as a result of an investigation by the Financial Markets Authority (FMA).
    Tags
    Cases, Media release, News & Insights, Enforcement
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  3. 12 September 2011

    FMA announces its Enforcement Policy

    The Financial Markets Authority (FMA) has published its Enforcement Policy to assist financial markets participants to have a clearer understanding of FMA's role, functions and priorities.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  5. 24 November 2021

    FMA investor profile - Rory Lynch

    This FMA Investor Profile focusses on Rory Lynch. While completing a finance major during university, it dawned on Rory that he ought to start thinking about his financial future and putting his education to good use. This seeded the start of his investing journey and he’s taken a self-directed, data-driven approach to investing ever since.
    Tags
    Shares, Ways to invest, Investing, Article, Consumer, News & Insights
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  8. 29 August 2023

    FAQs

    This page frequently asked questions about Offers of financial products including: due diligence; kinds of financial offers; Product Disclosure statements (PDS); dual language PDS exemptions; equity offer financial information; debt offers financial information; schedule 1 offers; offers under employee share purchase schemes; small offers and offers of financial products of same class as quoted financial products.
    Tags
    Offer information, Business
    Type
    Page

  11. 22 December 2023

    CBL Corporation and four independent directors ordered to pay penalties for conduct including reckless and careless breaches of the Financial Markets Conduct Act

    The High Court has ordered CBL Corporation Limited (CBLC) and four of its former directors to pay penalties for continuous disclosure and misleading conduct breaches following proceedings brought by the FMA under the Financial Markets Conduct Act 2013.
    Tags
    Media release, Enforceable undertaking, Powers, Financial Institutions, Business, News & Insights, Enforcement
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    Page

  13. 7 August 2014

    Brian Henry admits market manipulation

    Brian Peter Henry has admitted all of the FMA's allegations that he breached the market manipulation prohibitions in the Securities Markets Act 1988. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  14. 31 January 2023

    AML/CFT Reporting Entities

    Information about the AML/CFT reporting entities supervised by the FMA can be found here.
    Tags
    AML/CFT, Roles, Reporting entities, Business
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    Page

  15. 11 March 2016

    Warning: Beware of unsolicited offers of employment

    We have become aware that an organisation falsely claiming to be associated with a New Zealand Authorised Financial Adviser has been contacting members of the public via the Australian website www.seek.com.au offering employment as Payment Security Managers.
    Tags
    Scams
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    Page