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  1. 19 June 2020

    FMA publishes Auditor Regulation and Oversight Plan

    The plan sets out the areas the FMA will focus on as part of its role in reviewing the quality of Financial Markets Conduct Act audits, and contributing to the integrity and development of the audit profession.
    Tags
    Media release, Auditors, Roles, Business, News & Insights
    Type
    Page

  2. 4 November 2019

    FMA successfully defends FSPR appeal by FXBTG Financial Limited

    The Financial Markets Authority (FMA) has welcomed a High Court ruling upholding a direction by the FMA to de-register foreign exchange firm FXBTG Financial Limited.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  3. 13 December 2019

    FMA releases findings of managed investment scheme (MIS) custody review

    The Financial Markets Authority has published a summary report on a review of custody arrangements in managed investment schemes (MIS) in response to questions raised by the International Monetary Fund (IMF).
    Tags
    Compliance, Media release, Roles, Business, Managed investment schemes, News & Insights
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    Page

  4. 13 December 2019

    FMA clarifies green bond disclosure requirements

    The Financial Markets Authority (FMA) has published an information sheet outlining when issuers of securities described as “green bonds” can apply the “same class exclusion” to disclosure requirements.
    Tags
    FMC Act, Offer information, Legislation, Media release, Business, News & Insights
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    Page

  5. 13 May 2019

    10 formal AML/CFT warnings issued by FMA

    The Financial Markets Authority (FMA) has issued formal warnings to 10 reporting entities under Section 80 of the Anti-Money Laundering and Countering Financing of Terrorism Act (AML/CFT Act). Read more.
    Tags
    AML/CFT, Media release, Roles, Formal warning, AML/CFT formal warning, Powers, Business, News & Insights, Enforcement
    Type
    Page

  7. 21 August 2019

    FMA reiterates warning about potential Skyway Capital/SWIG scam

    The Financial Markets Authority (FMA) is reiterating its warning that Skyway Capital may be involved in a scam, after learning the business is continuing to conduct seminars throughout the North Island.
    Tags
    Media release, News & Insights, Scams
    Type
    Page

  9. 23 July 2019

    FMA issues Stop Order against Syndicated Trusts Limited

    The Financial Markets Authority (FMA) has issued a Stop Order against Syndicated Trusts Limited (STL), ordering the company to stop advertising or accepting money for financial products.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  10. 24 May 2018

    Market cleanliness summer scholarship study published

    The Financial Markets Authority (FMA) and NZX Regulation (NZXR) today published a study carried out by Victoria University student Anna Hensen, ‘New Zealand Equity Market Cleanliness for the years 2010-2016’.
    Tags
    Media release, Roles, Business, Market operator, News & Insights
    Type
    Page

  11. 13 July 2018

    CBL investigation update

    The FMA has completed a preliminary assessment of the information obtained as part of the CBL investigation to date and has concerns about potential breaches of the Financial Markets Conduct Act 2013 and the Companies Act 1993. Read more.
    Tags
    Media release, Cases, Business, News & Insights, Enforcement
    Type
    Page

  12. 30 November 2017

    FMA publishes revised investor capability strategy

    The Financial Markets Authority (FMA) has revised its 2015 investor capability strategy based on the insights gained about New Zealand investors during the last two years.
    Tags
    Investor capability, Media release, FMA, News & Insights
    Type
    Page

  13. 29 November 2017

    Key Audit Matters – A ‘stock take’ of the New Zealand experience

    The External Reporting Board (XRB) and Financial Markets Authority (FMA) have published the results of their joint analysis of Key audit matters – A stock-take of the first year in New Zealand.
    Tags
    Auditors, Media release, Roles, Business, News & Insights
    Type
    Page

  14. 24 May 2017

    Licensing overview: what the FMA found and what firms need to know

    Common issues, hints for new applicants and a guide to the Financial Markets Authority’s (FMA) future focus are included in a review of the regulator’s first two and a half years of licensing.
    Tags
    Licensing & registration, Media release, Business, News & Insights
    Type
    Page

  15. 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