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  1. 1 October 2002

    Securities Act (Authorised Futures Contracts)

    Securities Act (Authorised Futures Contracts) This notices replaces the Securities Act (Authorised Futures Contracts) Exemption Notice 1997 (the 1997 notice).
    Tags
    Exemptions, Business
    Type
    Page

  4. 11 September 2023

    Campaigns

    The FMA works with a number of partners around the world to increase awareness of investing, KiwiSaver and Scams. This page displays our campaign activity.
    Tags
    Investing, Campaigns, Campaigns, Consumer, News & Insights
    Type
    Page

  6. 13 November 2023

    Make a complaint

    We investigate a range of complaints about the conduct of individuals and businesses that operate in our financial markets. This page talks about when you should complain to us and who better to contact for complaints that fall outside of our remit. You will also find out how to make a complaint and the information we need in order to process a complaint.
    Tags
    Complaint, Business
    Type
    Page

  7. 14 December 2023

    SGX-DT review report

    Findings from the FMA’s reviews of how well Singapore Exchange Derivatives Trading Limited (SGX-DT) is meeting its market operator obligations under the FMC Act 2013.
    Tags
    Reports and Papers, Roles, Derivative Issuer, Business, News & Insights, Market operator
    Type
    Page

  8. 2 February 2024

    Forbes Capital Partners – Suspected scam

    Investor warning: We received a complaint that representatives of FCP had befriended a NZ resident on social media and encouraged him to invest money. When he attempted to withdraw his money, FCP withheld the funds and told him to pay an advance fee.
    Tags
    Suspected scam, Scams
    Type
    Page

  10. 21 February 2005

    South Pacific Energy Limited and Calgary Petroleum

    South Pacific and Calgary offered undertakings to the Securities Commission after Commissions concern that they may have offered securities to the public in contravention of the Securities Act. The undertakings will ensure that no such breaches occur in the future. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  11. 11 April 2016

    Stephen Duff

    Stephen Duff (also known as Nick Duff) offered, and the FMA accepted, the attached Enforceable Undertaking pursuant to section 46 of the Financial Markets Authority Act 2011. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  12. 19 November 2020

    Private investment company impersonated by scammers

    GRC Investments Limited is a private investment company based in Christchurch that scammers have sought to exploit by impersonating them. The FMA issued a warning in September that an investment scam appeared to be operating under a similar name – G.R.C Trustee.
    Tags
    Consumer, Scams
    Type
    Page

  13. 25 March 2021

    IFIAR releases 2020 Survey of Inspection Findings

    The International Forum of Independent Audit Regulators (IFIAR) has released its ninth annual survey of Members’ inspection results for the 2020 year. IFIAR is a membership organisation of 54 independent audit regulators, including the Financial Markets Authority (FMA).
    Tags
    Auditors, Media release, Roles, Business, News & Insights
    Type
    Page

  14. 15 December 2022

    ASX 24 derivatives market and SGX-DT reviews released

    FMA has published the findings of its market operator obligations reviews for the Australian Securities Exchange Limited (ASX 24 derivatives market) and Singapore Exchange Derivatives Trading Limited (SGX-DT dairy derivatives market).
    Tags
    Media release, Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    Page

  15. 1 April 2019

    AML/CFT monitoring report highlights concerns, sets out future focus

    The Financial Markets Authority (FMA) has published an Anti-Money Laundering and Countering the financing of terrorism (AML/CFT) monitoring report setting out the areas requiring further attention by the management and boards of the reporting entities it supervises. Read more.
    Tags
    AML/CFT, Roles, Media release, Business, News & Insights
    Type
    Page