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  1. 3 April 2017

    FMA confirms short-term derivatives to be licensed

    The Financial Markets Authority has today confirmed that businesses selling short-duration derivatives need to be licensed. The Financial Markets Conduct Act introduced licensing for derivatives issuers in December 2014.
    Tags
    Derivatives, Ways to invest, Investing, Media release, Consumer, News & Insights
    Type
    Page

  2. 3 April 2017

    Consultation paper Short duration derivatives

    This consultation is for: interested parties including offerors, investors and legal advisers. It aims to: gain feedback on the impact of a class designation for short duration derivatives.
    Tags
    Derivative Issuer, Consultations, Roles, Business
    Type
    PDF

  5. 27 March 2017

    FMA releases AFA information report

    The Financial Markets Authority today published its third statistical report on Authorised Financial Advisers (AFAs) in New Zealand. The FMA requires AFAs to submit an annual information return each year.
    Tags
    Financial Advice Provider, Media release, Roles, Business, News & Insights
    Type
    Page

  6. 22 March 2017

    FMA Statement on Forestlands

    FMA identified $18 million which Forestlands say is to be paid to all its investors. That money has been placed in a trust account after our discussion with a Forestlands director. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  11. 10 March 2017

    Hedgestone Group

    The Manitoba Securities Commission warned that Hedgestone Group is an unregistered entity.
    Tags
    International regulator alerts, Scams
    Type
    Page

  14. 9 March 2017

    FMA files charges for insider trading

    The FMA has filed charges in the Auckland District Court alleging breaches of the insider trading prohibitions contained in the Financial Markets Conduct Act 2013 (FMCA). The charges were filed in relation to trading in shares of Eroad (NZX:ERD). The individuals charged are a current and a former Eroad employee.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  15. 9 March 2017

    Submissions Report KiwiSaver guidance note

    This submissions report is in response to submissions on the draft KiwiSaver advice guidance note consultation, 2017.
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes
    Type
    PDF