Document Library

This document provides an update on the FMA's supervision of ethical investment disclosure.

This report looks at current and future use of artificial intelligence (AI) within the financial services sector.

Rockfort Markets v FMA Judgment with details of licence cancellation due to Rockfort materially contravening eight of its licence obligations.

Data relating to the FMA's AML enforcement approach

FMA’s verification of identity’s in relation to the Anti-Money Laundering and Countering Financing Terrorism Act 2009

FMA spending on branding and logo's since 2017

Data on the NZ Investment market, Financial Advisers and DIMS licences

FMA monitoring of non-GAAP financial information

FMA Organizational chart

FMA's enforcement for AML, specifically the stockbroking sector

Statistics on Investigations, Insider Trading and Market Manipulation

Any secondary briefing provided by our minister since 27 November 2023 to the FMA

FMA spending on PR and communications

FMA data on offences and prosecutions

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