24 August 2016
FMA Co-operation policy 2016
The Financial Markets Authority (FMA) often receives the co-operation of entities or individuals when we investigate financial market misconduct.
When deciding whether to pursue a regulatory response against an entity or individual, and if so, what sanction to use, one of the factors we may consider is the nature and extent of any co-operation they have provided.
When deciding whether to pursue a regulatory response against an entity or individual, and if so, what sanction to use, one of the factors we may consider is the nature and extent of any co-operation they have provided.