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The FMA has reached an agreement with Milford to resolve the issues relating to Milford (but excluding the trader) arising from the investigation, under which Milford has agreed to make payments totalling $1.5m. Read more.
Tabled in Parliament today, the Financial Markets Authority’s Statement of Intent (SOI) for 2015-2019 marks a further step in the agency’s evolution as a modern, risk-based conduct regulator.
The Financial Markets Authority (FMA) says the first listing this week on the NXT market sparks a new era of innovative capital raising in New Zealand.
The Financial Markets Authority (FMA) has made the following appointments to its executive team effective 1 July 2015.
The FMA together with the liquidators of Dominion Finance Group (DFG) and the receivers of North South Finance (NSF), reached a settlement pursuant to which $10.235m will be paid to liquidators and receivers for distribution in the receivership. Read more.
NZClear is a designated settlement system and consequently subject to Part 5C of the Reserve Bank of New Zealand Act 1989 (‘RBNZ Act’).
The High Court in Christchurch has granted the Financial Markets Authority’s (FMA) application for Grant Graham and Neale Jackson of KordaMentha to be appointed as receivers and managers of Arena Capital Limited, trading as Blackfort FX (Arena/Blackfort). Read more.
The Financial Markets Authority (FMA) today confirmed that NZX has complied with its statutory obligations to ensure that its markets are fair, orderly, and transparent.
The Financial Markets Authority (FMA) has concluded its investigation into Pacific Edge Limited regarding potential breaches of its continuous disclosure obligations.
The two directors of Apple Fields Limited have today been fined $30,000 each at the Christchurch District Court for breaches of the Financial Reporting Act 1993.
The FMA confirms that it is undertaking an investigation into Arena Capital Limited (Arena), trading as BlackfortFX (Blackfort). Read more.
The Financial Markets Authority (FMA) has confirmed that a number of offshore firms have recently been removed from the Financial Services Provider Register (FSPR). While the Registrar of Companies maintains the FSPR, the FMA has powers to direct the Registrar to remove companies from the FSPR where it is likely that a company is giving a false or misleading impression about the extent to which it is regulated in New Zealand.
The Financial Markets Authority (FMA) has provided smaller businesses that offer a Discretionary Investment Management Service (DIMS) relief from some financial reporting requirements.
The two directors of SPI Property Fund Limited have today been fined $25,312 each for breaches of the Financial Reporting Act in the Auckland District Court. Read more.
FMA has today published results from its first questionnaire of AFAs in New Zealand. The report provides insights into the shape and practices of this sector of the financial advice industry.