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  2. 30 June 2023

    Media releases

    The FMA issues media releases on a regular basis to keep the market informed of latest news. See a full list of media releases on this page.
    Tags
    Media release, News & Insights
    Type
    Page

  4. 30 June 2023

    Offers under the FMC Act

    Anyone offering financial products for issue or sale needs to comply with financial markets legislation. The Financial Markets Conduct Act 2013 (FMC Act) defines these people as issuers. See more on how they are defined and other disclosure requirements.
    Tags
    Type
    Page

  5. 29 June 2023

    Tiger Brokers to pay $900,000 penalty for multiple AML/CFT Act breaches

    The Auckland High Court has ordered Tiger Brokers (NZ) Limited to pay $900,000 for breaching the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act), in proceedings brought by the FMA.
    Tags
    Media release, AML/CFT, Enforceable action, Judgment, Roles, Business, News & Insights, Enforcement
    Type
    Page

  6. 29 June 2023

    Tiger Brokers (NZ) Limited

    The Auckland High Court has ordered Tiger Brokers (NZ) Limited to pay $900,000 for breaching the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009, in proceedings brought by the FMA.  
    Tags
    AML/CFT, Roles, Formal warning, Powers, Business, Enforcement
    Type
    Page

  8. 28 June 2023

    Reports and papers

    The FMA publishes a range of different research papers, reports and thematic reviews every year covering a range of topics from regulation updates to research or white papers that are relevant to market participants. View a full list of our published reports and papers on this page.
    Tags
    Reports and Papers, News & Insights
    Type
    Page

  9. 27 June 2023

    NZX Obligations Review 2023

    Findings from the FMA's review of how well NZX is meeting its licensed market operator obligations, for the period 1 January to 31 December 2022.
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    PDF

  10. 27 June 2023

    Staff Statistics OIA

    OIA request for Statistics on Staff salaries, turnover and diversity.
    Tags
    Type
    PDF, OIA

  11. 27 June 2023

    Statement of Performance Expectations 2023 to 2024

    This SPE sets out our financial forecast for the financial year 1 July 2023 to 30 June 2024. It is prepared in line with the
    Crown Entities Act 2004 and should be read together with the FMA’s Statement of Intent 2021-2024.
    Tags
    Type
    PDF, Corporate publications, Statement of Performance Expectations

  14. 27 June 2023

    Consumer Guide Capital Notes

    Capital notes and similar products such as perpetual subordinated notes or hybrid securities.
    Tags
    Bonds, Ways to invest, Investing, Consumer
    Type
    PDF

  15. 26 June 2023

    CoFI intermediated distribution submissions report

    Submissions report: Proposed guidance on CoFI intermediated distribution. Collation of written feedback received as part of the FMA’s public consultation on the proposed CoFI (Conduct of
    Financial Institutions) guidance note on intermediated distribution.
    Tags
    Banking, Conduct, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Business, News & Insights
    Type
    PDF, Guidance