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The Financial Markets Authority (FMA) has filed civil High Court proceedings against CLSA Premium New Zealand Limited (CLSAP NZ) for alleged breaches of the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act.
The plan sets out the areas the FMA will focus on as part of its role in reviewing the quality of Financial Markets Conduct Act audits, and contributing to the integrity and development of the audit profession.
The Financial Markets Authority (FMA) has considered the need for regulatory relief in relation to director liability thresholds, following changes in Australia.
The Financial Markets Authority (FMA) has opened consultation on the proposed full licence standard conditions for Financial Advice Providers, as part of the new financial advice regime.
The FMA’s online KiwiSaver tracker tool has been updated with the quarterly fund information for March 2020, reflecting the volatility that hit markets in the first quarter of the year. View the latest data in the FMA KiwiSaver tracker tool here.
Rodney McCall, also known as Rodney Crichton, has today plead guilty to charges brought by the Financial Markets Authority (FMA).
The Financial Markets Authority (FMA) has welcomed the Court of Appeal’s decision to dismiss a sentence appeal by Steven Robertson, who defrauded victims of $2.1 million through PTT Limited.
The Financial Markets Authority (FMA) has filed High Court proceedings against ANZ Bank New Zealand (ANZ), alleging the bank charged some customers for credit card repayment insurance (CCRI) policies that offered those customers no cover.
KiwiSaver investors will see how much money their KiwiSaver investments could provide at age 65 when they open their annual statements this year.
FMA has issued a formal warning to a financial adviser who made recommendations to clients that they urgently move their investments to ‘low risk’ funds in the wake of COVID-19. The adviser failed to clarify that the advice may not be suitable for all clients.
FMA reports steady progress on financial advice transitional licensing
MBIE have published the outcome of the review of the FMA’s funding and levies which took place earlier this year.
The FMA has seen a steady increase in complaints about a variety of scams since the beginning of March. The most reported scam was a cryptocurrency campaign on social media using fake news articles and false celebrity endorsements to promote Bitcoin investments.
The Financial Markets Authority (FMA) and External Reporting Board (XRB) have released their second joint review of key audit matters, after audit reporting standards were lifted three years ago.
FMA has suspended the derivatives issuer licence of EncoreFX (NZ) Limited (EncoreFX) after the business was put into voluntary administration by its Canadian parent.