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Rangi Wyatt Stephen Savage Senior has been ordered to pay compensation of $126,214 to investors and a pecuniary penalty of $142,500 for breaching the Financial Markets Conduct Act 2013.
FMA has issued a public warning to Mr Allan Facey, a Sydney-based auditor, regarding his conduct as the Engagement Quality Control Reviewer (EQR) for the audit of Alliant Perpetual.
Westpac New Zealand Limited has admitted to misleading customers entitled to advertised discounts as well as overcharging some of its business customers.
The FMA has filed a case stated proceeding to seek the Court’s determination on legal issues about the use, confirmation, and acceptance, of eligible investor certificates in the wholesale investment sector.
Kevin Young, a former accountant with Heartland Bank Limited, has pleaded guilty to insider trading charges brought against him by the FMA.
FMA has filed civil proceedings against InvestNow Saving and Investment Service Ltd, which trades as InvestNow, for alleged breaches of the Anti-Money Laundering and Countering of Terrorism Act 2009 (AML/CFT Act).
FMA censures Pathfinder for misleading KiwiSaver ethical claims on animal testing and fossil fuels, urging transparency in investment advertising.
FMA has cancelled the New Zealand licence of Sydney based auditor, Mr Sam Danieli, to carry out FMC audits in New Zealand.
The FMA has today published its Climate-Related Disclosures insights report from the first set of entities that were required to file climate statements.
The inaugural Consumer Confidence survey report 2024 from the FMA shows that three quarters of New Zealanders believe financial service providers treat customers fairly.
The FMA welcomes the High Court’s decision last week to dismiss the application to strike out the FMA’s claim against the executor of the estate of former CBLC director Alistair Hutchison.
The FMA’s Audit Quality Monitoring Report for 2023/24, released today, reviewed nine of the 12 registered audit firms in New Zealand and 19 audit files, 10 of which were of listed entities.
FMA report shows decline in potential market abuse in NZ equity market over 20 years, highlighting improved market cleanliness and investor trust.
The FMA today published its annual report for the year to 30 June 2024.
The FMA today published its first monitoring report of the Discretionary Investment Management Services (DIMS) sector.