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  1. 14 July 2021

    FMA issues infringement notice to Equitise

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has issued an infringement notice to equity crowdfunding service provider Equitise Pty Ltd for failing to file financial statements by their due date.
    Tags
    Crowdfunding providers, Enforceable action, Roles, Media release, Business, News & Insights, Enforcement
    Type
    Page

  2. 9 July 2021

    IG AUSTRALIA PTY LTD

    IG AUSTRALIA PTY LTD is a DERIVATIVES ISSUER
    Tags
    Derivative Issuer, Licensed entity, Roles, Business
    Type
    Page

  3. 9 July 2021

    FMA concludes inquiries into Fonterra’s 2019 financial statements and complaints relating to valuations of Beingmate and China Farms

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko - has closed its inquiries that followed Fonterra’s 2019 financial statements market announcement. The FMA did not find evidence to support regulatory action, including litigation, under the Financial Markets Conduct Act.
    Tags
    Cases, Auditors, Directors, Roles, Media release, Business, News & Insights, Enforcement
    Type
    Page

  4. 9 July 2021

    FMA investor profile - Zac W.

    Our latest investor profile is on 13-year-old Zac, who joined the online investing revolution 18 months ago, and now puts half his paper run money into his growing portfolio.
    Tags
    Investor information, Article, Consumer, News & Insights
    Type
    Page

  5. 9 July 2021

    AML/CFT - New regulation for nominee directors and nominee general partners

    Reporting entities will be expected to comply with the new regulation as soon as possible from 9 July 2021. However, in recognition that reporting entities will need to amend their processes and procedures (and potentially systems), a transitional compliance period will apply until 29 April 2022.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF, Guidance

  6. 9 July 2021

    AML/CFT regulations update 2021

    New Zealand’s Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) system is intended to adapt as money laundering and terrorism financing risks evolve. Two regulations, that are a key part of the AML/CFT system, were due to expire. These are the AML/CFT (Exemptions) Regulations 2011 which were scheduled to expire on 30 June 2020, and the AML/CFT (Definitions) Regulations 2011 which partially expire on 27 July 2021. This document sets out the changes and updates made for these regulations. These changes come into force 9 July 2021.
    Tags
    AML/CFT, Regulation updates, Roles, Business, Nominated representatives
    Type
    Page, Guidance

  7. 7 July 2021

    FMA survey shows changing investor preferences and continuing confidence in the markets

    For the first time, the FMA’s 2021 Investor Confidence survey has found over 70% of investors are confident in the country’s financial markets, up from 66% in 2020. Read more about the survey and results here.
    Tags
    Crowdfunding providers, Cryptocurrencies, Directors, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Financial Adviser, Financial market infrastructures, Roles, Media release, Business, Managed investment schemes, Market operator, News & Insights, Peer-to-peer lending service providers, Nominated representatives
    Type
    Page, Surveys

  8. 7 July 2021

    FMA cancels Fund Managers Otago licence

    The Financial Markets Authority (FMA) – Te Mana Tātai Hokohoko – has cancelled the managed investment scheme manager licence of Fund Managers Otago (FMO).
    Tags
    Enforceable action, Roles, Media release, Business, Managed investment schemes, News & Insights, Enforcement
    Type
    Page

  9. 6 July 2021

    Investor Confidence Report 2021

    This annual report is intended to measure the level of confidence the New Zealand public have in the New Zealand financial markets along with perceptions and awareness of the FMA.
    The research is conducted by an exernal provider. This is the Investor confidence survey results published in 2021.
    Tags
    Reports and Papers, Business, FMA, News & Insights
    Type
    PDF, Surveys

  11. 2 July 2021

    MyFiduciary Limited

    MyFiduciary Limited (FSP596089) is an AML/CFT reporting entity
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    Page

  12. 2 July 2021

    Administrators of financial benchmarks

    Financial benchmarks are prices, rates, figures or indexes that are referenced in financial products or contracts. On this page, you will find out more about licensing of administrators of financial benchmarks; compliance obligations; costs of licensing and exemptions available to administrators of financial benchmarks.
    Tags
    Administrators of financial benchmarks, Licensing & registration, Roles, Obligations, Business
    Type
    Page

  13. 2 July 2021

    Filing of financial statements: review findings and guidance

    This report provides a summary of the key findings and insights from the FMA’s monitoring review of financial reporting filing obligations. Also provides guidance and sets expectations for future reporting periods.
    Tags
    Directors, Reports and Papers, Roles, Auditors, Business, News & Insights
    Type
    Page, Financial reporting

  15. 1 July 2021

    Crowdfunding issuers

    This page covers specific obligations of crowdfunding issuers when offers are made of financial products
    Tags
    Crowdfunding providers, Offer disclosure for equity and debt offers, Roles, Business
    Type
    Page