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  1. 30 September 2015

    SPG and SPGI director pleads guilty to FMA charges

    Former company director and financial adviser, Andrew Hrothgar Robinson, has today pleaded guilty to charges brought by FMA, relating to his involvement as director of Strategic Planning Group Limited (SPG) and SPG Investment Company No.1 Limited (SPGI).
    Tags
    Media release, Cases, News & Insights, Enforcement
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  2. 15 August 2023

    Transparency statement on information gathering

    This transparency statement explains how the FMA collects, uses and shares information gathered about members of the public or other entities in accordance with the Information Gathering Model Standards issued by the State Services Commission (SSC) for information gathering.
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  3. 4 November 2016

    Minister announces more funding for FMA work

    The FMA has acknowledged the announcement by Commerce and Consumer Affairs Minister Paul Goldsmith of government approval to increase FMA funding. See Ministers announcement here.
    Tags
    Governance, Media release, FMA, News & Insights
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  4. 29 April 2020

    FMA suspends EncoreFX licence following voluntary administration

    FMA has suspended the derivatives issuer licence of EncoreFX (NZ) Limited (EncoreFX) after the business was put into voluntary administration by its Canadian parent.
    Tags
    Derivatives, Regulation, Ways to invest, Investing, Media release, Business, Consumer, News & Insights
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  6. 14 March 2023

    Consultation: Proposed exemptions for foreign listed issuers from climate reporting duties

    The FMA is seeking feedback on the need for, and the content of, proposed exemptions for foreign exempt issuers from climate reporting duties by 5PM, 17 April 2023.
    Tags
    Consultations, Climate related disclosure, Ethical finance, Authorised body under a FAP, Discretionary investment management scheme (DIMS), Financial Institutions, Roles, Business
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  7. 13 March 2024

    Natalie Ann Carter

    Between 2018 and 2020, former financial adviser, Ms Carter created various false documents for the purpose of obtaining home loans for herself and two clients.This page documents the case against Ms Carter.
    Tags
    Court – criminal, Powers, Enforcement
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  8. 3 November 2023

    Insider trading case involving Pushpay shares

    The FMA has filed proceedings against two individuals for alleged insider trading in relation to the sale of shares in Pushpay Holdings Limited (NZX:PPH).
    Tags
    Insider trading, Enforcement
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  9. 21 July 2023

    Forestlands and director Rowan Charles Kearns

    Rowan Kearns, the founder and sole director of the Forestlands group of companies, was sentenced yesterday to four months’ community detention and 100 hours’ community work with a 9pm – 7am curfew.
    Tags
    Court – criminal, Powers, Enforcement
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  10. 10 March 2023

    Financial Services Legislation Amendment Act 2019 (FSLAA)

    The Financial Services Legislation Amendment Act 2019 (FSLAA) introduces a new framework for giving financial advice in New Zealand. Read a summary of the changes, the FMA's role, who needs a licence and get information on how to apply for a licence on these pages.
    Tags
    Compliance, New Financial Advice regime, Authorised body under a FAP, Financial Advice Provider, Financial Adviser, Roles, Business, Interposed persons under new financial advice regime, Nominated representatives
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  11. 25 May 2015

    Pacific Edge Limited

    FMA issued warning on continuous disclosure obligations and secures $500,000 compensation payment from Pacific Edge Limited.
    Tags
    Settlement, Enforcement
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  12. 2 April 2024

    Consultation: Proposed exemption for certain green, social, sustainability and sustainability-linked bonds

    The FMA is consulting on a proposed class exemption to provide relief from disclosure requirements for certain green, social, sustainable, and sustainability-linked bonds. Have your say by 30 April 2024 .
    Tags
    Consultations, Offer disclosure for equity and debt offers, Ethical finance, Managed Investment Schemes, Climate Reporting Entities, Roles, Business
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  13. 16 January 2024

    Banking

    The FMA regulates certain products that may be offered by banks (e.g. managed funds) to you. The FMA is interested in the overall conduct of banks. THe FMA does not have a direct legislative mandate for regulating the conduct of providers of core retail banking (such as lending, credit and bank accounts).
    Tags
    Consumer banking, Consumer
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  14. 2 July 2024

    Booster Investment Management Limited

    The FMA filed civil proceedings against Booster Investment Management Limited (BIML), a wholly owned subsidiary of Booster Financial Services Limited.
    Tags
    Enforceable undertaking, Powers, Enforcement
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  15. 18 June 2024

    Climate Reporting Entities (CREs)

    The New Zealand government has introduced a new regime making climate-related disclosures mandatory for some organisations. Organisations covered (known as Climate Related Entities or CREs) will have to make annual disclosures covering governance arrangements, risk management, strategies and metrics and targets for mitigating and adapting to climate change impacts. The requirement applies to the larger publicly listed companies, big insurers, banks, non-bank deposit takers and investment managers. Read more on the FMA website.
    Tags
    Climate related disclosure, Climate Reporting Entities, Business
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