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  1. 2 May 2019

    GG Binary.com

    FMA recommends exercising caution before dealing with the website www.ggbinary.com. Read more.
    Tags
    International regulator alerts, Scams
    Type
    Page

  2. 1 May 2019

    Audit Quality Perceptions Research report 2019

    The overall aim of this research is to inform FMA of public and industry perceptions of the audit quality in NZ and enable them to target work to increase understanding of the auditor’s role, strengthen perceived value of that role, along with knowledge of the FMA’s role of oversight and regulationof auditors.
    Tags
    Monitoring, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  3. 1 May 2019

    Financial reporting reviews 2019

    This statement outlines our approach to financial reporting reviews, and highlights selected areas of interest for 2019/20 reviews.
    Tags
    Reports and Papers, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Roles, Business, News & Insights, Peer-to-peer lending service providers
    Type
    PDF, Financial reporting

  8. 17 April 2019

    BAT Financial Management

    A warning was issued in relation to BAT Financial Management and the website www.BATFinancialmanagement.com and associated persons Dan Johnson and William Davies. Read more.
    Tags
    Suspected scam, Scams
    Type
    Page

  9. 17 April 2019

    Smart Financial Markets

    Smart Financial Markets are not registered to provide financial services in New Zealand and we have therefore formed the view that this entity bears the hallmarks of a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  10. 16 April 2019

    Financial Markets Conduct (RIS Group Limited) Exemption Notice 2019

    Financial Markets Conduct (RIS Group Limited) Exemption Notice 2019 exempts RIS Group Limited (RIS Group) from sections 461D and 461H(1) of the Financial Markets Conduct Act (Act) to an extent. Read more.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  11. 16 April 2019

    Director sentenced to community service for abuse of FSPR

    A New Zealand-based director of Morgan DeVere Corporate Finance Limited has been sentenced to 75 hours of community service for breaching the Financial Service Providers (Registration and Dispute Resolution) Act 2008. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  13. 15 April 2019

    2019 Annual Letter of expectations

    Annual letter of expectations from the Minister April 2019
    Tags
    Annual letter of expectations from the Minister, FMA
    Type
    PDF

  14. 15 April 2019

    FMA files civil proceedings over trading in Oceania Natural

    The FMA has issued civil proceedings in the High Court against four individuals in relation to trading in Oceania Natural Limited. The proceedings relate to alleged breaches of market manipulation prohibitions and the disclosure obligations in the Financial Markets Conduct Act 2013. Read more.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  15. 12 April 2019

    Statement on ANZ v FMA Supreme Court judgment

    The FMA is pleased with the Supreme Court decision in the matter between ANZ and the FMA. Read more.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page