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  1. 14 July 2021

    FMA issues infringement notice to Equitise

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has issued an infringement notice to equity crowdfunding service provider Equitise Pty Ltd for failing to file financial statements by their due date.
    Tags
    Crowdfunding providers, Enforceable action, Roles, Media release, Business, News & Insights, Enforcement
    Type
    Page

  2. 11 October 2021

    FMA censures Firma NZ for breaches to derivatives issuer licence obligations

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has censured Firma Foreign Exchange Corporation (NZ) Limited after finding it had materially contravened a number of its obligations as a licensed derivatives issuer (DI).
    Tags
    Derivative Issuer, Enforceable action, Roles, Media release, Business, News & Insights, Enforcement
    Type
    Page

  3. 7 October 2021

    FMA directs Du Val to remove misleading advertising

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has directed property development and investment company Du Val to remove advertising materials likely to mislead or deceive investors.
    Tags
    Roles, Offer disclosure for equity and debt offers, Media release, Business, Managed investment schemes, News & Insights, Enforcement
    Type
    Page

  4. 10 November 2021

    Auditors respond well to challenges presented by COVID-19

    Auditors have responded well to financial reporting challenges presented by the pandemic, according to the Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko Audit Quality Monitoring Report for 2020/21.
    Tags
    Roles, Auditors, COVID-19, Media release, Business, News & Insights
    Type
    Page

  5. 6 August 2019

    Westpac

    Westpac accepted that it may have contravened fair dealing provisions of the Financial Markets Conduct Act (FMCA) and/or possible breaches relating to consumer credit contracts under the Fair Trading Act (FTA).
    Tags
    Fair dealing, Enforceable Undertaking, Business, Enforcement
    Type
    Page

  6. 27 February 2019

    Jonathan Simon Antony Branton-Casey

    On 27 February 2019, Jonathan Branton-Casey 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

  7. 11 May 2021

    PTT Limited, Steven Robertson and related parties

    Four companies were placed in liquidation over breach of financial markets legislation and case filed under Crimes act against Steven Robertson with the trial due in May 2019.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  8. 30 October 2018

    Pacific Eagle Capital (PEC)

    The Financial Markets Authority (FMA) has issued an infringement notice to Pacific Eagle Capital (PEC) for failing to file financial statements by its due date. Read more.
    Tags
    Infringement notice, Powers, Enforcement
    Type
    Page

  9. 16 June 2022

    New Zealand investor confidence dips back to pre-COVID levels

    Confidence in New Zealand’s financial markets has slipped back in the past 12 months, after last year’s record score, but overall, two-thirds of investors remain confident.
    Tags
    Roles, Media release, Business, News & Insights
    Type
    Page

  10. 23 June 2022

    Cyber security must be a priority for financial sector, FMA says

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has published an information sheet to help financial services firms enhance the resilience of their technology and operational systems, and meet any relevant licence obligations.
    Tags
    Crowdfunding providers, Directors, Discretionary investment management scheme (DIMS), Financial Advice Provider, Financial Adviser, Roles, Offer disclosure for equity and debt offers, Media release, Business, Managed investment schemes, Market operator, News & Insights, Peer-to-peer lending service providers, Supervisor
    Type
    Page

  11. 26 May 2022

    FMA releases record keeping information sheet for financial advice providers

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has published an information sheet for financial advice providers (FAPs) about how they can demonstrate compliance with record keeping obligations.
    Tags
    Financial Advice Provider, Roles, Media release, Business, News & Insights
    Type
    Page

  13. 17 November 2021

    FMA publishes implementation approach for climate-related disclosure regime

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has published its implementation approach for the Financial Sector (Climate-related Disclosures and Other Matters) Amendment Bill (CRD Bill).
    Tags
    Legislation, Climate related disclosure, Media release, Business, News & Insights
    Type
    Page

  14. 9 February 2022

    FMA files court proceedings alleging insider trading relating to the sale of Pushpay shares

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has filed proceedings against two individuals for alleged insider trading in relation to the sale of shares in Pushpay Holdings Limited (NZX:PPH).
    Tags
    Insider trading, Offer disclosure for equity and debt offers, Roles, Media release, Business, News & Insights, Enforcement
    Type
    Page

  15. 9 March 2022

    FMA directs Simplicity to remove misleading advertising and improve compliance processes

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has directed Simplicity NZ Limited to remove advertising materials that breached fair dealing provisions¹, and ensure future advertising is compliant.
    Tags
    Enforceable action, Roles, Media release, Business, Managed investment schemes, News & Insights, Enforcement
    Type
    Page