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  1. 19 March 2020

    FMA update on COVID-19

    The Financial Markets Authority (FMA) is closely monitoring the impact of the coronavirus situation on New Zealand’s financial markets and considering all available options to ensure markets continue to function well and to support participants, customers and investors.
    Tags
    COVID-19, FMC Act, New Financial Advice regime, Legislation, Media release, Business, News & Insights
    Type
    Page, Financial reporting

  5. 12 August 2014

    Strategic Finance settlement proceeds to first distribution

    In June this year PwC Partners John Fisk and Colin McCloy, as Receivers of Strategic, together with the Financial Markets Authority, announced they had finalised a $22 million settlement agreement with the former directors and auditors of Strategic.
    Tags
    Media release, News & Insights
    Type
    Page

  6. 13 September 2021

    CLSAP (formerly KVB Kunlun) ordered to pay $770,000 for anti-money laundering breaches

    CLSA Premium New Zealand Limited (CLSAP NZ) has been ordered to pay a total pecuniary penalty of $770,000 for breaches of the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act, following proceedings brought by the Financial Markets Authority – Te Mana Tātai Hokohoko (FMA).
    Tags
    AML/CFT, Roles, Media release, Judgment, Business, News & Insights, Enforcement
    Type
    Page

  7. 11 March 2021

    ANZ ordered to pay $280,000 penalty for misleading representations over credit card insurance charges

    The Auckland High Court has ordered ANZ New Zealand (ANZ) to pay a $280,000 civil penalty for breaching the Financial Markets Conduct Act 2013 (FMCA) by making misleading representations in the supply of credit card repayment insurance (CCRI) to 307 of its customers.
    Tags
    Cases, Fair dealing, FMC Act, Legislation, Media release, Business, News & Insights, Enforcement
    Type
    Page

  8. 1 June 2023

    FMA files proceedings against Medical Assurance Society over fair dealing provision breaches

    FMA has filed High Court proceedings against Medical Assurance Society New Zealand Limited (MAS) and its subsidiaries for fair dealing breaches under section 22 of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Fair dealing, Media release, Cases, Enforceable undertaking, Powers, Insurance Providers, Business, News & Insights, Enforcement
    Type
    Page

  10. 10 March 2023

    Du Val

    The FMA has warned Du Val Capital Partners Limited (DVCP), the general partner of the Du Val Mortgage Fund Limited Partnership (Du Val Mortgage Fund, MFLP, the Fund) and Du Val Group. See all enforcement activity relating to Du Val on this page
    Tags
    Misleading statement, Enforcement
    Type
    Page

  11. 21 September 2015

    SPI Directors

    This criminal proceeding relates to allegations that Murray Alcock and Allister Knight, as Directors of SPI Capital Limited and SPI Property Limited, failed to deliver financial statements to the Registrar of Companies under ss 18(1) & 38(b) Financial Reporting Act 1993. Read more.
    Tags
    Enforceable Undertaking, Enforceable undertaking, Powers, Enforcement
    Type
    Page

  12. 21 September 2015

    Murray Alcock and Allister Knight - SPI

    This criminal proceeding relates to allegations that Murray Alcock and Allister Knight, as Directors of SPI Capital Limited and SPI Property Limited, failed to deliver financial statements to the Registrar of Companies under ss 18(1) & 38(b) Financial Reporting Act 1993.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  13. 11 November 2011

    FMA to consult on the use of alternative performance measures

    The Financial Markets Authority (FMA) will issue draft guidance for public consultation in 2012 on the use of alternative performance measures (APMs) by financial markets issuers.
    Tags
    Media release, News & Insights
    Type
    Page

  14. 28 June 2013

    More charges laid against David Ross

    Three more charges have been laid by the Financial Markets Authority (FMA) against David Ross alleging breaches of financial markets legislation. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  15. 13 October 2021

    Advertising offers of financial products under the FMC Act

    Guidance on the Financial Markets Authority’s expectations in respect of advertising financial products under the Financial Markets Conduct Act 2013
    Tags
    Cryptocurrencies, Financial Institutions, Independent trustee, Financial Adviser, Financial Advice Provider, Discretionary investment management scheme (DIMS), Derivative Issuer, Crowdfunding providers, Client money or property services provider, Authorised body under a FAP, Roles, Offer information, Fair dealing, Directors, Business, Interposed persons under new financial advice regime, Managed investment schemes, Peer-to-peer lending service providers
    Type
    Page, Guidance