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  1. 3 May 2016

    FMA issues formal warning to Craigs

    The Financial Markets Authority (FMA) has today issued a formal warning to Craigs Investment Partners Limited (Craigs) under section 80 of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the AML/CFT Act).
    Tags
    AML/CFT, Roles, Media release, Business, News & Insights
    Type
    Page

  2. 23 February 2011

    Nuplex Industries Limited

    The Commission alleged that from 22 December 2008 until 19 February 2009 Nuplex breached its continuous disclosure obligations under the NZX Listing Rules and the Securities Markets Act 1988 by failing to disclose to the market a breach of a banking covenant, and that both Nuplex and the directors are responsible for this failure. Read more.
    Tags
    Settlement, Enforcement
    Type
    Page

  3. 11 October 2023

    Kiwibank

    The FMA filed High Court civil proceedings against Kiwibank for making false and/or misleading representations, under the fair dealing provisions of the Financial Markets Conduct Act (FMC Act). Read the case timeline on this page.
    Tags
    Cases, Court – civil, Powers, Enforcement
    Type
    Page

  6. 3 April 2020

    Updated: FMA further extends deadline for financial reporting

    The Financial Markets Authority (FMA) is providing regulatory relief to market participants to give them an additional two months to provide their audited financial statements. Due to the disruption caused by COVID-19, the FMA is taking appropriate steps to support the industry. Firms that need to provide these financial statements include listed issuers on the NZX.
    Tags
    COVID-19, New Financial Advice regime, FMC Act, Directors, Legislation, Roles, Business, News & Insights
    Type
    Page, Financial reporting

  7. 19 May 2016

    FMA legislative notices supporting the FMC Act regime

    To support businesses implementing the Financial Markets Conduct Act 2013 (FMC Act), the FMA has been working, in consultation with the sector, on various legislative tools such as exemptions, frameworks, methodologies, public accountability notices, and designations (the FMA’s legislative tools).
    Tags
    Regulation updates, Business
    Type
    Page

  8. 3 November 2022

    Innovation

    The financial technology (FinTech) sector continues to evolve rapidly. Our aim is to ensure that the New Zealand regulatory system facilitates innovation that improves outcomes for customers and increases the efficiency and competitiveness of the financial system. This page talks to the FMA's view of innovation in financial markets and how we support the FinTech community.
    Tags
    FMA
    Type
    Page

  9. 12 December 2016

    FMA legislative notices supporting the FMC Act regime up to 9 December 2016

    30 November 2016 marked the end of the transitional period the industry was required to move to operating under the FMC Act 2013 regime. Since 1 December 2016, businesses could no longer operate under the Securities Act or Securities Markets Act.
    Tags
    Regulation updates, Business
    Type
    Page

  10. 1 December 2014

    FMA's review of market disclosures

    This report was first published by the Financial Markets Authority (FMA) in June 2013 and discusses disclosure obligations under the SMA. These disclosure obligations now fall under the FMC Act and are largely unchanged, therefore the findings and observations contained in this report remain relevant.
    Tags
    Crowdfunding providers, Cryptocurrencies, Directors, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Roles, Reports and Papers, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    Page, Report

  11. 21 December 2022

    Enforcing the law

    Enforcement and deterrence is a critical part of the work that the FMA undertakes. It plays a key role in raising standards and responding to conduct that presents the greatest risk of harm to our financial markets. Find out more about our approach to enforcement here.
    Tags
    Regulation, Compliance, Enforceable action, Business, Enforcement
    Type
    Page

  12. 21 December 2022

    Enforcing the law

    Enforcement and deterrence is a critical part of the work that the FMA undertakes. It plays a key role in raising standards and responding to conduct that presents the greatest risk of harm to our financial markets. Find out more about our approach to enforcement here.
    Tags
    Regulation, Compliance, Enforceable action, Business, Enforcement
    Type
    Page

  13. 20 October 2022

    Key terms under the CoFI regime

    The Financial Markets (Conduct of Institutions) Amendment Act 2022 has introduced some key terms to describe the framework for regulating the conduct of financial institutions in New Zealand – also known as the CoFI regime. This page lists some of the key terms and their definitions.
    Tags
    Conduct of Financial Institutions Bill (CoFI), Banking, Conduct, Insurance Providers, Financial Institutions, Ways to invest, Investing, Managed Investment Schemes, Roles, Business, Consumer, Managed investment schemes
    Type
    Page

  14. 1 December 2020

    Green bonds – same class exclusion

    This information sheet explains the circumstances in which an issuer can make an offer of green bonds under the same class exclusion. It also explains when the Financial Markets Authority (FMA) might consider granting an individual exemption to facilitate offers of green bonds with the same credit characteristics as quoted ‘vanilla’ bonds from the same issuer.
    Tags
    Offer information, Offer disclosure for equity and debt offers, Roles, Business
    Type
    Page, Guidance

  15. 11 August 2023

    Enforcement Activity

    Through our investigation and enforcement activities we aim to raise standards of behaviour, deter misconduct, and hold to account those whose conduct harms the fair, efficient and transparent operation of our financial markets. View our list of enforcement actions and cases on this page.
    Tags
    Cases, Enforceable action, Enforceable undertaking, Powers, Enforcement
    Type
    Page