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  2. 10 April 2019

    AxiCorp Financial Services Pty Ltd

    AxiCorp Financial Services Pty Ltd is an AML reporting entity
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    Page

  3. 10 April 2019

    Holborn Assets Limited

    FMA recommends investors exercise caution before dealing with Holborn Assets Limited as it is an unregistered business in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  4. 9 April 2019

    Mark Stephen Talbot

    Mr Talbot has offered this enforceable undertaking following an investigation made by the FMA into his trading of shares in VMob Group Limited (VMob). Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  5. 9 April 2019

    Former CFO to pay $150,000, barred for Securities Markets Act breaches

    Mr Talbot has admitted to insider trading conduct and entered a guilty plea on a representative charge for a breach of disclosure obligations at Auckland High Court last month. Read more
    Tags
    Cases, Insider trading, Media release, News & Insights, Enforcement
    Type
    Page

  6. 9 April 2019

    Mark Talbot - Enforceable Undertaking

    Mr Talbot has offered this enforceable undertaking following an investigation made by the FMA into his trading of shares in VMob Group Limited (VMob). 3 April 2019.
    Tags
    Enforceable Undertaking, Enforcement
    Type
    PDF

  10. 5 April 2019

    Financial Markets Conduct (OnePath Custodians Pty Limited) Exemption Notice 2019

    Financial Markets Conduct (OnePath Custodians Pty Limited) Exemption Notice 2019 is subject to the same terms and conditions as that in the 2016 Exemption Notice with the only changes being the expiry date being extended for a further 5 years from the date of this notice. Read more.
    Tags
    Exemptions, Business
    Type
    Page

  13. 2 April 2019

    Update on FMA/RBNZ Bank Conduct and Culture review

    Today the Reserve Bank of New Zealand and the FMA confirmed that all 11 banks involved in their ongoing review of conduct and culture, have provided their responses to individual feedback letters. Read more
    Tags
    Banking, Media release, Business, News & Insights
    Type
    Page

  14. 1 April 2019

    AML/CFT Annual Monitoring Report 2018

    This report summarises our monitoring activities from 1 July 2016 to 30 June 2018, to help reporting entities better understand our expectations, and what they can do to improve their systems and processes to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 and its supporting regulations.
    Tags
    AML/CFT, Monitoring, Reports and Papers, Roles, Reporting entities, Business, News & Insights
    Type
    PDF

  15. 1 April 2019

    AML/CFT monitoring report highlights concerns, sets out future focus

    The Financial Markets Authority (FMA) has published an Anti-Money Laundering and Countering the financing of terrorism (AML/CFT) monitoring report setting out the areas requiring further attention by the management and boards of the reporting entities it supervises. Read more.
    Tags
    AML/CFT, Roles, Media release, Business, News & Insights
    Type
    Page