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Media releases – 2010

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Former financial adviser pleads guilty to further dishonesty offences

Natalie Ann Carter, a former Hawke’s Bay-based mortgage broker, has pleaded guilty to a further three criminal charges brought against her by the FMA.

FMA censures Go Financial Solutions for breaching its licence obligations

FMA has has censured Go Financial Solutions Limited for failing to comply with several obligations under its financial advice provider (FAP) licence.

FMA makes permanent stop order against David McEwen and entities associated with him

The FMA has made a permanent stop order against David Elgar McEwen and entities associated with him (McEwen and Associates).

FMA publishes 2023 annual report

The FMA today published the FMA annual report for the year to 30 June 2023.

Agreement signed by New Zealand regulator and global standards body to uphold and promote financial market integrity

The FMA has signed a Consultation Agreement with The Financial Markets Standards Board (FMSB).

FMA cancels Foundation Advice Limited’s financial advice provider licence

FMA has cancelled Foundation Advice Limited (FAL)’s Financial Advice Provider (FAP) licence. FAL was an Auckland-based FAP offering advice on life and health insurance as well as KiwiSaver.

Medical Assurance Society to pay $2.1 million penalty for making false and misleading representations to customers

Medical Assurance Society New Zealand Limited (MAS) has been ordered to pay a pecuniary penalty of $2.1 million for making false and/or misleading representations to some customers, following proceedings brought by the Financial Markets Authority (FMA).

FMA finds continuous improvements to audit quality and warns against complacency

Media release from the FMA announcing release of 2023 Audit Quality Monitoring Report.

FMA opens consultation on fair outcomes for consumers and markets

FMA has opened consultation on its approach to outcomes focused regulation, including the fair outcomes for consumers and markets it wants to see financial service providers focus on. The FMA welcomes feedback from all its stakeholders. 

FMA encourages New Zealanders to be aware of investment scams

The FMA is reminding New Zealanders to remain vigilant to investment scams as part of Fraud Awareness Week 2023.

FMA makes interim stop order against David McEwen and entities associated with him

The FMA has made an interim stop order against David Elgar McEwen and entities associated with him.

FMA acknowledges insider trading sentence

The individual found guilty of insider conduct in relation to the sale of shares in Pushpay Holdings Limited (NZX:PPH) has been sentenced to six months community detention and must pay a fine of $100,000.

CTRL Investments Limited issued infringement notice for late financial statements

The FMA has issued an infringement notice to derivatives issuer EC Markets Financial Limited (previously known as CTRL Investments Limited or CTRL) for failing to file financial statements by the due date.

Former financial adviser pleads guilty to dishonesty offences

The FMA charged a former financial adviser with multiple dishonesty offences following an investigation into her conduct.

FMA reinforces importance of cyber-resilience for financial service providers

The FMA is reminding licensed financial service providers about the importance of cyber-resilience as part of Cyber Smart Week 2023.

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Media releases – 2010