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FMA is calling on KiwiSaver providers to put the interests of customers first, as the amount of money transferred by customers changing their KiwiSaver scheme, has almost doubled in a year.
The Financial Markets Authority (FMA) has issued a warning about General Equity (previously named General Equity Building Society), a New Zealand registered building society.
FMA released its Investigations and Enforcement Report for the year ending 30 June 2014.
Directors Hayden George Jones and Thomas Alexander George Jones have been fined $35,000 each for breaches of the Financial Reporting Act 1993. Read more.
The Financial Markets Authority (FMA) has announced its plans for this year's Money Week from October 13-19 2014. The FMA will be hosting a panel discussion to promote greater understanding of investment risk.
The FMA has filed civil proceedings against Prince and Partners Trustee Company Limited, using the powers of section 34 of the Financial Markets Authority Act. Prince was the trustee for finance company Viaduct Capital Limited. Read more.
In June this year PwC Partners John Fisk and Colin McCloy, as Receivers of Strategic, together with the Financial Markets Authority, announced they had finalised a $22 million settlement agreement with the former directors and auditors of Strategic.
Brian Peter Henry has admitted all of the FMA's allegations that he breached the market manipulation prohibitions in the Securities Markets Act 1988. Read more.
The Financial Markets Authority today issued its first equity crowd funding licences under the Financial Markets Conduct Act 2013.
Ross Anthony Collins, director, is to pay a fine of $30,000 for breaches of the Financial Reporting Act 1993 (FRA). Read more.
The Financial Markets Authority (FMA) has issued its first peer-to-peer lending service licence. Auckland-based Harmoney is the first provider of this new financial service, under the provisions of the Financial Markets Conduct Act 2013.
Lawyer, Hugh Edward Staples Hamilton (63), who was found guilty of fraud in relation to the collapse of Belgrave Finance Limited (Belgrave), has been sentenced at the Auckland High Court today to four years and nine months’ imprisonment. read more.
The Financial Markets Authority (FMA) has filed charges against the directors of eight companies that raise funds from the public, for breaches of the Financial Reporting Act (FRA). Read more.
The FMA’s report confirms that NZX met its obligations, under the Securities Markets Act 1988, to ensure that its markets were fair, orderly, and transparent. The review covered the period January – December 2013.
Following changes to the regulation of Discretionary Investment Management Services (DIMS) announced Monday 16 June, by Commerce Minister, Craig Foss, the Financial Markets Authority (FMA) has released a guide to help advisers and small businesses who want to apply for a licence to provide DIMS under the Financial Markets Conduct Act