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  1. 13 November 2023

    Make a complaint

    We investigate a range of complaints about the conduct of individuals and businesses that operate in our financial markets. This page talks about when you should complain to us and who better to contact for complaints that fall outside of our remit. You will also find out how to make a complaint and the information we need in order to process a complaint.
    Tags
    Complaint, Business
    Type
    Page

  2. 23 April 2024

    Supervisors

    Supervisors are appointed to look after investors' interests for some types of financial products and the interests of residents of retirement villages. Supervisors covered by the Financial Markets Supervisors Act 2011 (the FMS Act) are those who supervise debt securities; Registered schemes, including KiwiSaver schemes, specified managed funds and superannuation schemes, and retirement villages.View more about licensing and registration and the obligations of Supervisors in New Zealand on this page.
    Tags
    Compliance, Obligations, Licensing & registration, Roles, Business, Managed investment schemes, Supervisor
    Type
    Page

  3. 20 October 2022

    Jasper NZ Investments Limited

    The FMA has issued a formal warning to Jasper NZ Investments Limited following concerns that it may have failed to give disclosures to investors as required by Part 3 of the Financial Markets Conduct Act 2013 because it relied on the wholesale investor exclusion in circumstances where they were not entitled to. This is because some eligible investor certificates were incomplete.
    Tags
    Wholesale investing, Roles, Ways to invest, Investing, Conduct, Offer information, Offers of financial products, Formal warning, Powers, Business, Consumer, Enforcement
    Type
    Page

  4. 20 October 2022

    Provincia Property Fund Limited

    The FMA has issued a formal warning to Provincia Property Fund Limited following concerns that they may have failed to give disclosures to investors as required by Part 3 of the Financial Markets Conduct Act 2013 because it relied on the wholesale investor exclusion in circumstances where they were not entitled to. This is because some eligible investor certificates were incomplete.
    Tags
    Offer disclosure for equity and debt offers, Wholesale investing, Roles, Ways to invest, Investing, Conduct, Offers of financial products, Formal warning, Powers, Business, Consumer, Enforcement
    Type
    Page

  5. 20 October 2022

    Black Robin Equity Limited and Westwood Terraces BRE Limited

    The FMA has issued a formal warning to Black Robin Equity Limited and Westwood Terraces BRE Limited following concerns that they may have failed to give disclosures to investors as required by Part 3 of the Financial Markets Conduct Act 2013 because they relied on the wholesale investor exclusion in circumstances where they were not entitled to. This is because some eligible investor certificates were incomplete.
    Tags
    Offer disclosure for equity and debt offers, Wholesale investing, Roles, Ways to invest, Investing, Conduct, Offer information, Formal warning, Powers, Business, Consumer, Enforcement
    Type
    Page

  6. 20 October 2022

    E+O Property Syndication Limited

    The FMA has issued a formal warning to Formal warning: E+O Property Syndication Limited following concerns that it may have failed to give disclosures to investors as required by Part 3 of the Financial Markets Conduct Act 2013 because it relied on the wholesale investor exclusion in circumstances where they were not entitled to. This is because some eligible investor certificates were incomplete.
    Tags
    Wholesale investing, Ways to invest, Investing, Offer disclosure for equity and debt offers, Roles, Conduct, Formal warning, Powers, Business, Consumer, Enforcement
    Type
    Page

  7. 5 September 2022

    Everyday finance

    We regulate the conduct of banks and insurance companies. Most financial service providers must be licensed by the Financial Markets Authority. We monitor and enforce their conduct and the standards by which they operate.
    These pages explain everyday financial services like banking and insurance, what conduct you should expect from them and what to do when things don't go as expected.
    Tags
    Insurance advice, Consumer banking, Financial advice, Consumer
    Type
    Page

  8. 27 March 2023

    AML/CFT FAQs

    Frequently asked questions answered about AML/CFT and obligations of reporting entities in New Zealand.
    Tags
    AML/CFT, Roles, Business
    Type
    Page

  9. 4 August 2016

    A review of corporate governance disclosure in New Zealand

    This report presents our review of corporate governance reporting. We are sharing these findings with companies so they can reflect on their governance practices and disclosures.
    Tags
    Directors, Roles, Reports and Papers, Business
    Type
    Page, Paper

  10. 6 May 2021

    New law reforms the regulation of financial market infrastructures (FMIs)

    New laws to regulate and supervise payment and settlement systems have been passed by Parliament following the third reading of the Financial Market Infrastructures Bill (the Bill) yesterday. Under the Bill the Reserve Bank of New Zealand – Te Pūtea Matua (the Reserve Bank) and the Financial Markets Authority – Te Mana Tātai Hokohoko (FMA) will be joint regulators of most FMIs, including central securities depositories, securities settlement systems, central counterparties, and trade repositories. The Reserve Bank will be the sole regulator of payments systems under the new regime.
    Tags
    Regulation, Regulation updates, Media release, Business, FMA, News & Insights
    Type
    Page

  11. 3 August 2023

    Enforcement Policy

    Our enforcement policy is intended to guide and inform financial market participants. It is also intended to be a living policy and we may revise it from time to time according to what our objectives and priorities are. It is not exhaustive and is not binding.
    Tags
    Policy, Business, Enforcement
    Type
    Page

  12. 16 May 2014

    Finance company legal adviser found guilty of fraud

    Hugh Edward Staples Hamilton (62) has been found guilty at the Auckland High Court of 14 charges arising out of the collapse of Belgrave Finance Limited. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page