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  1. 13 July 2018

    CBL investigation update

    The FMA has completed a preliminary assessment of the information obtained as part of the CBL investigation to date and has concerns about potential breaches of the Financial Markets Conduct Act 2013 and the Companies Act 1993. Read more.
    Tags
    Media release, Cases, Business, News & Insights, Enforcement
    Type
    Page

  2. 31 July 2017

    Mark Warminger

    The FMA has issued civil proceedings seeking pecuniary penalties against Mr Warminger for trading carried out between January and August 2014. The FMA alleges that MR Warminger’s conduct amounted to market manipulation in breach of s11B of the Securities Markets Act 1988.
    Tags
    Enforcement
    Type
    Page

  5. 22 March 2018

    FMA publishes review of adviser conduct in life insurance

    The FMA has issued warnings to four registered financial advisers in relation to providing advice on replacement insurance policies, for breaches of the obligation in section 33 of the Financial Advisers Act 2008 to exercise care, diligence and skill.
    Tags
    Media release, Conduct, Business, News & Insights
    Type
    Page

  6. 19 October 2017

    The FMA and ASIC confirm trans-Tasman collaborative approach to fintech

    The Financial Markets Authority (FMA) and the Australian Securities and Investment Commission (ASIC) have reaffirmed their commitment to collaboration and cooperation on the expanding opportunities in fintech and innovation.
    Tags
    Media release, FMA, News & Insights
    Type
    Page

  8. 16 April 2018

    Formal warning: Crafters & Co Limited

    The FMA has issued a formal warning to Crafters & Co Limited and its director, Hadleigh Petherick.
    Tags
    Media release, Cases, Formal warning, Powers, News & Insights, Enforcement
    Type
    Page

  9. 16 November 2017

    FMA urges investors to know scam warning signs

    In October 2017 the FMA recorded the highest number of monthly calls about fraud, scams and cold calls for more than two years. Check before you invest.
    Tags
    Media release, Consumer, News & Insights, Scams
    Type
    Page

  10. 4 December 2014

    FMA releases Audit Quality Review Report

    Media release relating to the launch of the FMA Audit Quality Review report 2014
    Tags
    Auditors, Media release, Roles, Business, News & Insights
    Type
    Page

  11. 5 December 2013

    FMA releases audit quality report

    The Financial Markets Authority (FMA) says its first audit quality review shows there is work to be done to meet the required standards.
    Tags
    Auditors, Media release, Roles, Business, News & Insights
    Type
    Page, Guidance

  13. 9 June 2011

    FMA warns of unacceptable KiwiSaver sales practices

    The Financial Markets Authority is urging investors to be wary of unacceptable sales practices being used in selling some KiwiSaver schemes.
    Tags
    Media release, Formal warning, Powers, News & Insights, Enforcement
    Type
    Page