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  3. 13 December 2022

    Consultation paper: Review of the Small Co-operatives and Irrigation Companies Class Exemptions

    We are seeking feedback on two class exemption notices, being:
    the Financial Markets Conduct (Small Co-operatives) Exemption Notice 2021
    the Financial Markets Conduct (Irrigation Companies) Exemption Notice 2018.
    The notices provide small co-operative companies, industrial and provident societies, and irrigation companies with a lighter regulatory compliance pathway.
    Tags
    Offer disclosure for equity and debt offers, Consultations, Roles, Business
    Type
    Page, Consultation

  4. 6 September 2022

    FMA Chief Executive Samantha Barrass opening remarks to the FANZ Conference

    Samantha Barrass talks to FANZ conference attendees about the FMA's goals of fostering a genuinely fair financial system, with more New Zealanders than ever believing the financial sector is working well for them.
    Tags
    FMA executive team, Speeches and presentations , FMA, News & Insights
    Type
    Page

  5. 13 February 2023

    '5 mins with the FMA' podcast #5: Climate-related disclosures

    In this FMA podcast, we discuss New Zealand’s new climate-related disclosures regime with the manager of climate-related disclosures, Jenika Phipps.
    Tags
    Climate related disclosure, News, Ethical finance, Authorised body under a FAP, Financial Institutions, Roles, Business, Consumer, Managed investment schemes, News & Insights
    Type
    Page, Podcast

  9. 7 July 2023

    Climate related disclosures implementation approach

    The Financial Sector (Climate-related Disclosures and Other Matters) Amendment Bill (CRD Bill) received Royal assent on 27 October 2021. This document briefly explains the Financial Sector (Climate-related Disclosures and Other Matters) Amendment Act 2021 (the CRD legislation) and outlines the Financial Markets Authority’s (FMA) implementation approach for the CRD regime over a period of approximately 4 years, through to 2025/26. It sets out the roles and responsibilities of the various government agencies, to help industry understand ‘who is doing what’ with regard to CRD.
    Tags
    Authorised body under a FAP, Client money or property services provider, Directors, Banking, Roles, Offer disclosure for equity and debt offers, Insurance Providers, Climate related disclosure, Financial Institutions, Climate Reporting Entities, Business, FMA
    Type
    PDF, Guidance

  10. 7 June 2017

    KiwiSaver annual statements methodology notice

    This notice comes into force on 2017 and applies to accounting periods of KiwiSaver schemes that commence on or after the commencement date of this notice. The notice sets out a methodology which managers of KiwiSaver schemes must comply with when calculating the approximate total sum of the fees paid by each of their scheme participants. This information (which must be expressed as a dollar amount) must be included in the confirmation information that KiwiSaver providers are required to provide to each scheme participant each year pursuant to the Financial Markets Conduct Act 2013 (Act).
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes
    Type
    PDF, Notice

  11. 26 February 2018

    FMA statement on the death of Rob Cameron

    The FMA would like to express its condolences to the family and colleagues of Rob Cameron, who died late last week.
    Tags
    Media release, News & Insights
    Type
    Page

  12. 14 May 2014

    FMA seeks comments on proposed class exemption to apply to initial public offers

    Consultation paper: FMA seeks comments on proposed class exemption to apply to initial public offers. The Financial Markets Authority (FMA) is planning to consult on a proposed class exemption for firms making initial public offers (IPOs). Read more.
    Tags
    Offer information, Consultations, Exemptions, Business
    Type
    Page

  13. 31 July 2015

    FMA files civil proceedings against portfolio manager for alleged market manipulation

    The Financial Markets Authority (FMA) has issued civil proceedings in the High Court seeking pecuniary penalties against Mr Mark Warminger for trading carried out while employed by Milford Asset Management Limited (Milford). The trading occurred between December 2013 and August 2014.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  14. 18 May 2017

    Former financial adviser pleads guilty to four charges under Crimes Act

    Anthony Wilson, a former Registered Financial Adviser pleaded guilty at the Auckland District Court to two charges of making a false document for pecuniary advantage. The charges were filed by the Financial Markets Authority (FMA) under the Crimes Act. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  15. 20 June 2011

    Statement on Hubbard Investigation

    The Financial Markets Authority (FMA) and the Serious Fraud Office (SFO) have worked together closely throughout this investigation. The evidence on which the charges laid by the SFO today are based could also give rise to charges by FMA under section 59 of the Securities Act.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page