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  1. 6 July 2016

    KiwiSaver annual statements are being read but not acted upon

    The Financial Markets Authority has released the results of a survey conducted in May this year, to coincide with the time when most KiwiSaver investors are receiving their annual statements. The survey was responded to by 1,313 KiwiSaver investors, two thirds of the total sample.
    Tags
    KiwiSaver providers, Media release, Managed investment schemes, Roles, Business, News & Insights
    Type
    Page

  2. 27 September 2017

    FMA publishes annual report 2017

    The Financial Markets Authority (FMA) published its annual report today for the financial year ending June 30 2017. This highlights two key developments for the FMA; a Government review confirming increased funding and the IMF’s Financial System Stability Assessment.
    Tags
    Governance, Media release, FMA, News & Insights
    Type
    Page

  3. 8 June 2017

    FMA announces methodology for KiwiSaver fee disclosure

    The Government has recently introduced regulations requiring KiwiSaver providers to disclose fees in dollars in members’ annual statements. The Financial Markets Authority (FMA) has been consulting on a methodology that will assist KiwiSaver providers to understand the requirements of those regulations.
    Tags
    KiwiSaver providers, Media release, Managed investment schemes, Roles, Business, News & Insights
    Type
    Page

  4. 11 April 2017

    Guilty plea in insider trading case

    An individual today pleaded guilty at the Auckland District Court to one charge of insider trading under section 243 Financial Markets Conduct Act - namely, being an information insider advising or encouraging another person to trade. Read more.
    Tags
    Insider trading, Media release, Cases, News & Insights, Enforcement
    Type
    Page

  5. 17 December 2015

    Consultation paper: Proposed exemptions for existing property schemes

    Consultation paper: Proposed exemptions for existing property schemes. We are considering possible exemptions to address some of the issues faced by existing property schemes or syndicates in complying with certain requirements under the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Client money or property services provider, Consultations, Exemptions, Roles, Business
    Type
    Page

  6. 13 October 2021

    Consultation: Proposed guidance on advertising offers

    We are seeking views on proposed guidance on advertising offers of financial products under the Financial Markets Conduct Act 2013. The proposed guidance sets out our expectations of what good conduct in the advertising of financial products looks like. Feedback will be used to help us refine the proposed guidance.
    Tags
    Crowdfunding providers, Cryptocurrencies, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Managed investment schemes, Peer-to-peer lending service providers, Supervisor, Consultations, Roles, Business
    Type
    Page

  7. 7 September 2012

    New designated settlement system

    The Reserve Bank of New Zealand and the Financial Markets Authority (FMA) have announced that the NZ Clear Settlement System has been declared a designated settlement system under Part 5C of the Reserve Bank of New Zealand Act.
    Tags
    Media release, News & Insights
    Type
    Page

  8. 15 August 2011

    FMA orders Share Buyers Limited to include warning

    The Financial Markets Authority (FMA) has ordered Share Buyers Limited (Share Buyers) and associated persons to include a warning from FMA in a prominent position at the beginning of any document making an unsolicited offer to buy shares or other securities.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  9. 14 June 2017

    Insider trader sentenced

    Jeffrey Peter Honey was sentenced to six months home detention at the Auckland District Court, after pleading guilty to one charge of insider trading under section 243(1)(a) and section 244 Financial Markets Conduct Act. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  10. 22 September 2020

    FMA prevents CLSA Premium NZ Limited (formerly KVB Kunlun) from offering derivatives to retail investors

    The Financial Markets Authority (FMA) has imposed conditions on the derivatives issuer licence of CLSA Premium New Zealand Limited (CLSAP NZ, formerly KVB Kunlun) that prevent the firm from making an offer to or receiving further funds from, retail investors in relation to derivatives.
    Tags
    Derivatives, Regulation, Ways to invest, Investing, Media release, Business, Consumer, News & Insights, Enforcement
    Type
    Page, Financial reporting

  11. 3 November 2014

    Consultation Paper: Issuers’ Registers of Regulated Products and FMA’s Discretion under Section 224

    Consultation Paper: Issuers’ Registers of Regulated Products and FMA’s Discretion under Section 224. This paper gives an overview of the requirements relating to issuers’ registers of regulated products under Subpart 4 of Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    FMC Act, Legislation, Offer disclosure for equity and debt offers, Consultations, Roles, Business
    Type
    Page

  12. 3 November 2014

    Consultation Paper: Issuers’ Registers of Regulated Products and FMA’s Discretion under Section 224

    Consultation Paper: Issuers’ Registers of Regulated Products and FMA’s Discretion under Section 224. This paper gives an overview of the requirements relating to issuers’ registers of regulated products under Subpart 4 of Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    FMC Act, Legislation, Offer disclosure for equity and debt offers, Consultations, Roles, Business
    Type
    Page

  13. 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

  14. 25 March 2021

    IFIAR releases 2020 Survey of Inspection Findings

    The International Forum of Independent Audit Regulators (IFIAR) has released its ninth annual survey of Members’ inspection results for the 2020 year. IFIAR is a membership organisation of 54 independent audit regulators, including the Financial Markets Authority (FMA).
    Tags
    Auditors, Media release, Roles, Business, News & Insights
    Type
    Page

  15. 29 September 2021

    FMA appoints Karen Chang as Acting General Counsel

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has appointed its current Head of Enforcement, Karen Chang, as Acting General Counsel until the FMA’s new Chief Executive joins next year.
    Tags
    FMA people, Media release, FMA, News & Insights
    Type
    Page