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  1. 6 May 2021

    CLSAP (formerly KVB Kunlun) admits to anti-money laundering breaches

    CLSA Premium New Zealand Limited (CLSAP NZ) has admitted to breaches of the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act, following proceedings brought by the Financial Markets Authority – Te Mana Tātai Hokohoko (FMA).
    Tags
    AML/CFT, Derivatives, Roles, Ways to invest, Investing, Media release, Business, Consumer, News & Insights, Enforcement
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  3. 30 October 2019

    PTT’s Steven Robertson jailed for six years, eight months

    Steven Robertson has today been sentenced to six years, eight months’ imprisonment at the Auckland High Court as a result of an investigation by the Financial Markets Authority (FMA).
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  5. 26 July 2019

    New Zealand launches ‘investment passport’

    Kiwi investors and managed funds will now be able to do business more easily with Australia, Japan and Thailand, after New Zealand’s implementation of the Asia Region Funds Passport (ARFP).
    Tags
    Media release, News & Insights
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    Page

  6. 15 March 2023

    Business or individual with financial advisers

    Business or individual with financial advisers is a way you can operate under the new financial advice regime. Holding a financial advice provider licence in your individual name means you cannot call yourself a financial adviser and you will be personally responsible for any liabilities incurred as a financial advice provider, including liabilities for breach of legal duties (we will provide more information about this soon).See the licensing requirements; costs; duties and obligations, and next steps you should take here.
    Tags
    New Financial Advice regime, Business
    Type
    Page

  7. 15 March 2023

    Single adviser business

    Single adviser business is a way you can operate under the new financial advice regime. The licence can be in your business name (if, for example, you run your business through a company and your company will hold the licence with you as the individual adviser) or your individual name, if you personally hold the licence in your own name. See the licensing requirements; costs; duties and obligations and next steps to take here.
    Tags
    New Financial Advice regime, Business
    Type
    Page

  8. 15 March 2023

    Business with nominated representatives

    Business or individual with nominated representatives is a way you can operate under the new financial advice regime. See the licensing requirements; costs; duties and obligations, and next steps you should follow here.
    Tags
    New Financial Advice regime, Business
    Type
    Page

  9. 30 November 2017

    FMA publishes revised investor capability strategy

    The Financial Markets Authority (FMA) has revised its 2015 investor capability strategy based on the insights gained about New Zealand investors during the last two years.
    Tags
    Investor capability, Media release, FMA, News & Insights
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  10. 5 May 2015

    Small DIMS providers benefit from reduced reporting requirements

    The Financial Markets Authority (FMA) has provided smaller businesses that offer a Discretionary Investment Management Service (DIMS) relief from some financial reporting requirements.
    Tags
    Discretionary investment management scheme (DIMS), Media release, Roles, Business, News & Insights
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    Page

  12. 28 January 2015

    FMA and NZX sign Memorandum of Understanding

    FMA and NZX have signed a Memorandum of Understanding. The MoU sets out the framework for engagement and co-operation between the FMA and NZX, taking into account their complementary regulatory responsibilities for New Zealand’s capital markets.
    Tags
    Governance, Media release, FMA, News & Insights
    Type
    Page

  13. 29 March 2023

    FMA issues formal warning to Vanguard

    We have issued a formal warning to Vanguard Investments Australia Limited (Vanguard), for failing to lodge a required notice on the New Zealand Companies Office Disclose Register.
    Tags
    Media release, Enforceable action, Formal warning, Powers, Offer disclosure for equity and debt offers, Roles, Business, News & Insights, Enforcement
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    Page

  14. 23 May 2023

    FMA files criminal charges against Yuen Pok (Paul) Loo

    FMA has filed criminal charges against Yuen Pok (Paul) Loo following offences under financial markets legislation.
    Tags
    Media release, Cases, Enforceable undertaking, Powers, News & Insights, Enforcement
    Type
    Page

  15. 28 January 2015

    FMA and NZX sign Memorandum of Understanding

    FMA and NZX have signed a Memorandum of Understanding. The MoU sets out the framework for engagement and co-operation between the FMA and NZX, taking into account their complementary regulatory responsibilities for New Zealand’s capital markets.
    Tags
    Governance, Media release, FMA, News & Insights
    Type
    Page