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  2. 21 January 2023

    Disputes and consumer protection

    The Banking Ombudsman investigates and resolves disputes between customers and their banks.
    They also deal with complaints about a range of non-bank financial service providers. The Reserve Bank of New Zealand is the prudential supervisor of banks and insurance companies.
    Tags
    Consumer
    Type
    Page

  3. 15 March 2021

    Frequently asked questions

    The FMA answers many questions on a daily basis. We have recorded the most frequently asked questions on this page. Check this page first before submitting your question to us - it may save you time. If you can’t find the information you’re looking for then please submit your question to us via [email protected] or call our helpline on 0800 434 566. .
    Tags
    Business
    Type
    Page

  4. 9 October 2015

    Second SPGI director pleads guilty to FMA charges

    Company director, Mark Andrew Turnock, has pleaded guilty to a charge brought by the FMA, relating to his involvement as director of SPGI. Read more.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page, Financial reporting

  5. 30 August 2012

    FMA welcomes Belgrave Finance sentencing

    Mr Buckley was sentenced to three years in prison after he pleaded guilty to 25 charges under the Securities Act, Crimes Act and the Companies Act. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  6. 1 September 2020

    Intrgroups/ Intrgroup

    We are concerned that Intrgroup and its associated website may be operating a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  7. 16 December 2021

    Cryptocurrency trading without consent - Warning about kiwi-ex.com website and kiwicoinex.com

    Warning: We recommend caution when dealing with the website, www.kiwi-ex.com, as the FMA is concerned this website may be operating a scam. The website is offering a platform for investors to trade in cryptocurrencies. We received a report of trades being conducted in an investor's account, without their knowledge or consent, by the website.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  8. 26 June 2013

    Guilty pleas in Dominion Finance case

    Vance Arkinstall and Richard Bettle each pleaded guilty to five Securities Act charges including making untrue statements in a Dominion Finance investment statement and extension certificate, and making an untrue statement in a North South Finance extension certificate. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  9. 13 July 2017

    Consultation paper: Disclosing non-GAAP financial information

    Consultation paper: Disclosing non-GAAP financial information. This guidance note communicates our expectations on presenting non-GAAP financial information, including pro-forma financial information.
    Tags
    Cryptocurrencies, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Consultations, Roles, Business, Managed investment schemes
    Type
    Page

  10. 15 May 2018

    FMA releases fourth AFA information report

    FMA published statistical report on Authorised Financial Advisers (AFAs) in New Zealand for 2017. The FMA requires AFAs to submit an annual information return each year.
    Tags
    Financial Advice Provider, Media release, Roles, Business, News & Insights
    Type
    Page

  12. 18 July 2018

    Conflicted conduct in the insurance industry

    Our latest review on conflicted conduct in the insurance industry focuses on how QFEs mitigate risks through their operational policies and procedures when selling replacement policies. Our previous work focuses on RFAa and AFAs.
    Tags
    Financial Advice Provider, Financial Adviser, Roles, Reports and Papers, Business, News & Insights
    Type
    Page, Report

  13. 15 May 2017

    Consultation paper: Class designation of shares to managed investment products in an MIS

    Consultation paper: Class designation of shares to managed investment products in an MIS. This consultation paper considers when shares in investment companies may be designated as managed investment products (MIPs). Being MIPs subject these investment companies to the licensing, disclosure and governance requirements of managed investment schemes.
    Tags
    Investing, Consultations, Roles, Business, Consumer, Managed investment schemes
    Type
    Page

  15. 22 September 2017

    Financial Service Providers Register report

    Read about the work we’re doing to tackle misuse of the Financial Services Provider Register (FSPR) and some useful case studies that provide examples of where we’ve taken action.
    Tags
    FSPR, Roles, Reports and Papers, Financial Advice Provider, Business, News & Insights
    Type
    Page, Report