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  1. 24 May 2018

    New Zealand Equity Market Cleanliness for the years 2010-2016

    This report assesses the cleanliness of New Zealand equity markets. The assessment is based on the prevalence of abnormal price movements ahead of material price sensitive announcements -measured by the market cleanliness statistic (MCS). The report assessed the New Zealand market cleanliness for the years 2010-2016 and found that the MCS appears to be fluctuating and does not display a clear increasing or decreasing trend.
    Tags
    Reports and Papers, Business, News & Insights
    Type
    PDF

  2. 23 May 2018

    Consultation Same Class Offers ASX NZX Exemption Notice 2018

    This consultation paper is for those who issue and offer listed financial products, investors, legal advisers, and other
    interested parties. It seeks feedback on a proposed exemption for same class offers of ASX/NZX-quoted financial
    products.
    Tags
    Market operator, Consultations, Roles, Business
    Type
    PDF

  3. 22 May 2018

    2018/2019 Annual letter of Expectations

    2018 Annual letter of expectations issued by the Minister to the FMA.
    Tags
    Annual letter of expectations from the Minister, FMA
    Type
    PDF

  4. 22 May 2018

    Manaia and Partners

    Manaia and Partners is not a registered New Zealand company and is not registered to provide financial services in New Zealand.
    Tags
    Fake regulator, Suspected scam, Scams
    Type
    Page

  5. 22 May 2018

    Department of Overseas Acquisitions

    The Department of Overseas Acquisitions (DOA) is not a legitimate financial services regulator.
    Tags
    Fake regulator, Suspected scam, Scams
    Type
    Page

  6. 18 May 2018

    Securities and Trade Commission

    The Securities and Trade Commission is not a legitimate financial services regulator.
    Tags
    Fake regulator, Suspected scam, Scams
    Type
    Page

  7. 18 May 2018

    FMA campaign to connect young women with KiwiSaver

    The FMA has developed a KiwiSaver health checker tool to help people answer four important questions about their account.
    Tags
    KiwiSaver providers, Campaigns, Media release, Roles, Investing, Business, Consumer, Managed investment schemes, News & Insights
    Type
    Page

  8. 18 May 2018

    Anahera and Partners

    Anahera and Partners is not a registered New Zealand Company and is not registered to provide financial services in New Zealand.
    Tags
    Fake regulator, Suspected scam, Scams
    Type
    Page

  9. 17 May 2018

    CBL Update

    The FMA intends to file a case stated procedure to seek the court’s determination on whether continuous disclosure obligations for listed issuers continue to apply when the issuer is in voluntary administration. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  10. 16 May 2018

    Insurers spend $34 million on soft commissions

    FMA report details how nine life and health insurance companies spent $34 million on non-financial incentives like trips, business support and conferences for financial advisers over a two-year period.
    Tags
    Insurance, Media release, Consumer, News & Insights
    Type
    Page

  11. 16 May 2018

    Conflicted remuneration (soft commissions) in the life and health insurance industry

    This review examines the soft commission structures in place for life and health insurance products and how advisers respond to these incentives. This work forms part of a range of regulatory activities examining conflicted conduct in the insurance sector.
    Tags
    Financial Advice Provider, Conduct, Roles, Business
    Type
    PDF, Report

  13. 15 May 2018

    Rostones

    Rostones is not a New Zealand registered company and is not associated with, nor an authorised representative of, Rostones Group Limited.
    Tags
    Unregistered business, Investor warning, Consumer, Scams
    Type
    Page

  14. 15 May 2018

    Second company and director charged over FSPR abuse

    Second company and director charged over FSPR abuse. The company is charged with two counts of breaching section 12 of the FSP Act.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  15. 15 May 2018

    FMA releases fourth AFA information report

    FMA published statistical report on Authorised Financial Advisers (AFAs) in New Zealand for 2017. The FMA requires AFAs to submit an annual information return each year.
    Tags
    Financial Advice Provider, Media release, Roles, Business, News & Insights
    Type
    Page