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The report details the principal matters transacted under the Act during the year ended 30 June 2021, and contains the sixth annual summary of the statistical returns, required to be lodged by KiwiSaver schemes under section 125 of the Act.
OIAP Response dated 23 September 2021, Short selling of shares - Request asking if the FMA investigated short selling of industry shares impacted by Covid
In our 2019 Life Insurer Conduct and Culture review, we found that “certain products often provided poor value, and consequently poor outcomes for customers, because of limited benefits, and misunderstanding of coverage and eligibility”. We carried out this additional review to gain a better understanding of the suitability of CCRI for consumers. While most providers have withdrawn CCRI products from sale, there are still several hundred thousand existing policies, whose holders may not need or understand the product and are at risk of experiencing poor outcomes if they need to make a claim.
Financial Markets Conduct (BNP Paribas S.A.) Exemption Notice 2021.
SGX-DT, Singapore Exchange Derivatives Trading Market Operator 2021
OIAP response dated 13 September 2021, Law Commission submission - Request regarding a submission to Law Commission review into class actions and litigation funding
Bio for Samantha Barrass who is appointed the new Chief Executive of the FMA, beginning her role in early 2022.
Financial Markets Conduct (Firefly Resources Limited) Exemption Notice 2021
OIAP response dated 7 September 2021, Insider trading misconduct statistics - A request for statistics relating to insider trading misconduct
The FMA’s approach to managing the COVID-19 pandemic is to protect the health, safety and welfare of our staff, their families and whānau, our visitors and to maintain our ability to continue delivering services.
This document contains the questions you will be asked when applying for a Class 2 Financial Advice Provider full licence.
Customer vulnerability – our expectations for providers. This information sheet explains the FMA’s expectations for financial services firms to prioritise their customer vulnerability practices, focusing on areas we consider immediate priorities, updated Sept 2021.
Campaign resource kit for participants in World Investor Week 2021.
FMA issued a formal warning to Sharesies Limited and Sharesies Nominee Limited for failing to have sufficient anti-money laundering procedures, policies, and controls in place.
Gazette notice issued by the Ministry of Health indicating which businesses can operate at Level 4, COVID-19