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  1. 21 December 2022

    Enforcing the law

    Enforcement and deterrence is a critical part of the work that the FMA undertakes. It plays a key role in raising standards and responding to conduct that presents the greatest risk of harm to our financial markets. Find out more about our approach to enforcement here.
    Tags
    Regulation, Compliance, Enforceable action, Business, Enforcement
    Type
    Page

  2. 21 December 2022

    Wynyard Group - NZICA decision on appeal

    NZICA has released its disciplinary decisions arising from the 2015 PwC audit of the formerly NZX-listed Wynyard Group.
    Tags
    Auditors, Roles, Business, Enforcement
    Type
    PDF

  5. 15 December 2022

    ASX 24 Obligations Review 2022

    This review covers the period 1 July 2020 to 30 June 2022 and is our fourth review of ASX 24 since its licence came into effect on 1 December 2014.
    Tags
    Reports and Papers, Roles, Business, News & Insights, Market operator
    Type
    PDF

  6. 15 December 2022

    SGX DT Obligations Review 2022

    This report covers the FMA’s review of SGX-DT for the period 14 September 2021 (the commencement date of SGX-DT’s licence) to 30 June 2022.
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    PDF

  7. 15 December 2022

    ASX 24 derivatives market and SGX-DT reviews released

    FMA has published the findings of its market operator obligations reviews for the Australian Securities Exchange Limited (ASX 24 derivatives market) and Singapore Exchange Derivatives Trading Limited (SGX-DT dairy derivatives market).
    Tags
    Media release, Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    Page

  8. 15 December 2022

    Z Energy Property Fund DBG

    Z Energy Property Fund is a designated business group (DBG), including: Z Property Limited Partnership, Z General Partner Limited, and Z Property Manager Limited
    Tags
    Reporting entities, AML/CFT, Roles, Business, Designated Business Group (DBG)
    Type
    Page

  9. 15 December 2022

    FMA warns Pencarrow Private Equity Management for AML/CFT record-keeping failures

    We have formally warned Pencarrow Private Equity Management Limited for breaching record-keeping requirements under the AML/CFT Act.
    Tags
    Media release, Enforceable action, Formal warning, AML/CFT formal warning, Powers, Investigations, Roles, Business, Managed investment schemes, News & Insights, Enforcement
    Type
    Page

  10. 15 December 2022

    ASX 24 review report

    Australian Securities Exchange Limited (ASX 24) is licensed to operate the ASX 24 derivatives market (derivatives market) in New Zealand. We are required to report at least once every two years on how well ASX 24 is meeting its licensed market operator obligations.
    Tags
    Roles, Reports and Papers, Business, Market operator, News & Insights
    Type
    Page, Report

  11. 15 December 2022

    AML/CFT Designated Business Group – Formation and Change Guideline

    This guideline 2022 is designed to help reporting entities forming a designated business group (DBG) to understand the process for doing so. Entities may form a DBG if they are eligible to do so under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations.
    Tags
    AML/CFT, Obligations, Roles, Business, Designated Business Group (DBG)
    Type
    PDF, Guidance

  12. 13 December 2022

    Consultation paper: Review of the Small Co-operatives and Irrigation Companies Class Exemptions

    We are seeking feedback on two class exemption notices, being:
    the Financial Markets Conduct (Small Co-operatives) Exemption Notice 2021
    the Financial Markets Conduct (Irrigation Companies) Exemption Notice 2018.
    The notices provide small co-operative companies, industrial and provident societies, and irrigation companies with a lighter regulatory compliance pathway.
    Tags
    Offer disclosure for equity and debt offers, Consultations, Roles, Business
    Type
    Page, Consultation