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  4. 15 February 2023

    Validus - Interim Stop Order

    INTERIM STOP ORDER made by the Financial Markets Authority (FMA) pursuant to section 465 of the Financial Markets Conduct Act 2013 (Act), issued to Validus.
    Tags
    Enforceable action, Enforcement
    Type
    PDF

  5. 13 November 2023

    Financial Market Infrastructures Act Designation Notice NZ Clear 2023

    This notice is issued under Clause 4 of Schedule 1 of the Financial Markets Infrastructures Act 2021 by the Reserve Bank of New Zealand and the Financial Markets Authority.
    Tags
    Financial market infrastructures, Market operator, Roles, Business
    Type
    PDF

  7. 1 January 2011

    Nona Marketing Limited and Albius Limited

    FTO Capital (trading name) is not registered to provide financial services in New Zealand and therefore not able to legally offer financial services in New Zealand.
    Tags
    Suspected scam, International regulator alerts, Scams
    Type
    Page

  8. 14 September 2023

    Pallas Group DBG

    Pallas Group includes Pallas Capital Limited FSP1004241, Pallas Trustees Limited FSP1004322, and Pallas Commercial Lending Limited FSP1004240.
    Tags
    Reporting entities, Roles, Business, Designated Business Group (DBG)
    Type
    Page

  9. 16 April 2024

    Punakaiki Fund DBG

    Punakaiki Fund DBG includes: 2040 Ventures Limited (previous named: Lance Wiggs Capital Management Limited) and Punakaiki Fund Limited.
    Tags
    Reporting entities, AML/CFT, Roles, Business, Designated Business Group (DBG)
    Type
    Page

  10. 23 November 2022

    FMC Act exemptions

    List of Markets Conduct Act exemptions.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  12. 5 October 2015

    FMA 2015 KiwiSaver report shows investment returns and withdrawals reach all-time highs

    The Financial Markets Authority’s (FMA) latest report into KiwiSaver activity shows funds flowing into KiwiSaver at an all-time high during the 12 months to 31 March 2015. Investment returns were the biggest component of positive fund flows while the level of withdrawals also increased to the largest level since KiwiSaver began.
    Tags
    KiwiSaver providers, KiwiSaver & Superannuation, Media release, Managed investment schemes, Roles, Business, Consumer, News & Insights
    Type
    Page

  13. 14 April 2015

    Better information for investors as new disclosure documents take shape

    Information for investors will now be provided in a format that is easier-to-understand and more accessible than before. The way that financial products are made available to the public has been overhauled under the FMC Act. The first New Zealand financial products to be offered under the new regulations have started to appear on the ‘Disclose’ website this month.
    Tags
    Media release, Consumer, News & Insights
    Type
    Page

  14. 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

  15. 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
    Type
    Page