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  1. 29 November 2017

    Key audit matters - A stock take of the first year in New Zealand

    The purpose of this publication is to provide a stock take of the New Zealand experience in the first year of adopting the revised auditor’s report, specifically focussing on the reporting of key audit matters (KAMs).
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  4. 28 November 2017

    Investor Capability Strategy 2017 2020

    This strategy sets out how we plan to target our efforts around ensuring investors have access to the information they need to make informed investment decisions.
    Tags
    FMA
    Type
    PDF

  5. 27 November 2017

    FMA publishes first peer-to-peer/crowdfunding statistical returns

    The Financial Markets Authority (FMA) today published its first statistical report on peer-to-peer lending and crowdfunding in New Zealand.
    Tags
    Crowdfunding providers, Media release, Roles, Business, News & Insights, Peer-to-peer lending service providers
    Type
    Page

  6. 24 November 2017

    Fullerton Markets

    The FMA has issued a formal AML/CFT warning to Fullerton Markets. Read more.
    Tags
    AML/CFT, Enforceable action, Roles, Business, Enforcement
    Type
    Page

  8. 23 November 2017

    FMA publishes 2017 Audit Quality Report/directors’ guide

    The FMA’s 2017 Audit Quality Report shows that since the FMA began these reviews in 2013, all audit firms now have systems and policies in place to deliver high-quality audits.
    Tags
    Directors, Auditor Regulation Act 2011, Media release, Roles, Legislation, Business, News & Insights
    Type
    Page

  9. 23 November 2017

    Fullerton Markets Ltd - Warning

    Notification of a formal warning from the FMA to Fullerton Markets Ltd under section 80 of the Anti-money laundering and countering finance of terrorism Act 2009. 23 November 2017.
    Tags
    Enforcement
    Type
    PDF

  10. 21 November 2017

    FMA releases KiwiSaver Tracker

    The FMA KiwiSaver Tracker uses the information KiwiSaver providers give investors through their quarterly fund updates and via the Companies Office’s Disclose Register.
    Tags
    KiwiSaver providers, KiwiSaver & Superannuation, Media release, Roles, Business, Consumer, Managed investment schemes, News & Insights
    Type
    Page

  11. 17 November 2017

    Bridge Capital Advisors

    The Australian Securities and Investments Commission (ASIC) warn that Bridge Capital Advisors could be involved in a scam and is an unlicensed entity in Australia.
    Tags
    Suspected scam, International regulator alerts, Scams
    Type
    Page

  12. 16 November 2017

    US International Investment Trade Authority

    The US International Investment Trade Authority is falsely claiming to be a financial services regulator and endorsing products and services from questionable sources.
    Tags
    Fake regulator, Scams
    Type
    Page

  13. 16 November 2017

    Consultation paper: Proposed exemption to facilitate personalised digital advice

    Consultation paper: Proposed exemption to facilitate personalised digital advice. We are now open for applications by providers for the exemption. Read more about it here.
    Tags
    Financial Advice Provider, Financial Adviser, Interposed persons under new financial advice regime, Consultations, Roles, Business
    Type
    Page

  14. 16 November 2017

    Apex Capital AG

    Apex Capital AG is not registered to provide financial services in New Zealand.
    Tags
    Unregistered business, Investor warning, Consumer, Scams
    Type
    Page

  15. 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