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Found 1596 results. Displaying page 48 of 107

  1. 5 April 2018

    Markets Trading Ltd

    The Financial Conduct Authority (FCA), in the UK, issued a warning that Markets Trading Ltd is not authorised by the FCA and they believe it is carrying on regulated activities which require authorisation.
    Tags
    International regulator alerts, Scams
    Type
    Page

  2. 9 August 2018

    FMA sets out its work plan for the year ahead

    The FMA has released its annual corporate plan as the conduct and culture of New Zealand’s financial services industry comes under greater scrutiny.
    Tags
    Media release, Governance, FMA, News & Insights
    Type
    Page

  3. 22 July 2021

    New Zealand insurers – you’ve got a lot of work to do

    FMA Director of Banking and Insurance, Clare Bolingford talks about new conduct licensing regime that aims to improve fair treatment for customers.
    Tags
    FMA stories, Financial Advice Provider, Banking, Roles, Insurance Providers, Business, News & Insights
    Type
    Page

  4. 26 March 2021

    Insider trading

    How insider trading and other illegal insider conduct undermines the fairness of investment markets, and what the Financial Markets Authority does to stop it.
    Tags
    Shares, Ways to invest, Investing, Article, Consumer, News & Insights
    Type
    Page

  5. 30 November 2022

    FMA progressing CoFI implementation with publication of licensing materials

    The FMA is continuing to progress preparations for the Financial Markets (Conduct of Institutions) Amendment Act 2022 (CoFI), with the release of a suite of materials for financial institutions.

    Tags
    Banking, Media release, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Managed Investment Schemes, Roles, Business, Managed investment schemes, News & Insights
    Type
    Page

  6. 5 April 2022

    Clare Bolingford speech at FSC Connect

    Transcript of speech by FMA's Director of Banking and Insurance, Clare Bollingford, at FSC Connect Panel where she talks about emerging trends in conduct regulation.
    Tags
    Financial Advice Provider, FMA people, Roles, Speeches and presentations , Conduct of Financial Institutions Bill (CoFI), Business, FMA, News & Insights
    Type
    Page

  8. 23 August 2023

    FMA acknowledges guilty verdict in Pushpay insider trading case

    FMA acknowledges today’s guilty verdict in the criminal trial of an individual accused of insider conduct in relation to the sale of shares in Pushpay Holdings Limited.
    Tags
    Media release, Insider trading, News & Insights, Enforcement
    Type
    Page

  9. 1 November 2013

    Changes ahead for Financial Reporting - FMA Fact Sheet

    The Financial Reporting Bill currently before Parliament is going to change the reporting requirements for all ‘Financial Markets Conduct (FMC) Reporting Entities’.
    Tags
    Type
    Page, Financial reporting, Guidance

  10. 14 April 2021

    Managed fund fees and value for money

    Guidance and principles to help managers and supervisors of KiwiSaver schemes and other managed investment schemes to demonstrate how they are meeting their existing obligations, statutory duties, and conduct expectations in respect of fees and value for money.
    Tags
    Roles, Supervisors, Business, Managed investment schemes
    Type
    Page, Guidance

  11. 10 December 2021

    Outsourcing CDD to a third-party provider

    Section 34 of the AML/CFT Act allows a reporting entity to authorise and rely on an agent to conduct CDD procedures on its behalf. An agent is a person that has legal authority to represent another party. If you outsource the above CDD procedures under section 34 to a third-party provider, the provider must be acting as your agent. In these circumstances, you remain responsible for ensuring that the CDD conducted by the third-party provider is undertaken to the level required by the AML/CFT Act. Read the full guidance on this page.
    Tags
    AML/CFT, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Financial Adviser, Roles, Business
    Type
    Page, Guidance

  12. 13 October 2021

    Advertising offers of financial products under the FMC Act

    Guidance on the Financial Markets Authority’s expectations in respect of advertising financial products under the Financial Markets Conduct Act 2013
    Tags
    Cryptocurrencies, Financial Institutions, Independent trustee, Financial Adviser, Financial Advice Provider, Discretionary investment management scheme (DIMS), Derivative Issuer, Crowdfunding providers, Client money or property services provider, Authorised body under a FAP, Roles, Offer information, Fair dealing, Directors, Business, Interposed persons under new financial advice regime, Managed investment schemes, Peer-to-peer lending service providers
    Type
    Page, Guidance

  13. 16 June 2021

    Financial advice given for the purpose of complying with lender responsibilities

    This information sheet explains the circumstances that may exclude a lender from some Financial Markets Conduct Act 2013 (FMC Act) obligations related to financial advice. The exclusion applies only in relation to consumer credit contracts and certain credit-related insurance contracts.
    Tags
    Financial Advice Provider, Financial Adviser, Roles, Financial Institutions, Business
    Type
    Page, Guidance

  14. 25 September 2019

    FMA welcomes Government announcement on expanded remit

    The FMA (Financial Markets Authority) welcomed the Government’s announcement that it would introduce legislation to create an oversight regime for regulating conduct in the banking and insurance sectors.
    Tags
    Governance, Media release, FMA, News & Insights
    Type
    Page

  15. 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
    Type
    Page