Page last updated: 09 September 2024

Media releases – 2010

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FMA letter to NZ registered banks: Treating consumers fairly – creating the right incentives

Letter sent from by the FMA to Chief Executives of New Zealand registered banks in April 2023.

Two individuals found to have breached market manipulation prohibitions and disclosure obligations

Media release announcing High Court judgment in relation to FMA vs Wei (Walker) Zhong and Lei (Regina) Ding market manipulation of Oceania Natural Limited (ONL) shares trading.

FMA issues formal warning to Vanguard

We have issued a formal warning to Vanguard Investments Australia Limited (Vanguard), for failing to lodge a required notice on the New Zealand Companies Office Disclose Register.

Financial advice regulatory regime - now in full effect

Financial advice regulatory regime now in full effect and all financial advice providers (FAPs) must hold or operate under a full licence from the FMA if they want to provide regulated financial advice to retail clients.

FMA appoints three new Directors within regulatory leadership team

FMA announces three directors appointed to new roles in the strategic leadership cohort.

FMA appoints Daniel Trinder to new executive leadership team

The FMA confirmed the appointment of Daniel Trinder, to join its enterprise leadership team as Executive Director – Strategy and Design.

FMA warns Du Val Capital Partners Limited over misleading or deceptive statements to investors in the Du Val Mortgage Fund

The FMA has warned Du Val Capital Partners Limited (DVCP), the general partner of the Du Val Mortgage Fund Limited Partnership (Du Val Mortgage Fund, MFLP, the Fund) and Du Val Group.

The FMA opens consultation on draft guidance for the intermediated distribution of financial products

FMA is seeking consultation feedback on proposed guidance that covers arrangements where financial institutions distribute products and services through intermediaries.

FMA issues interim stop order to Validus and its associated persons

The Financial Markets Authority has issued an Interim Stop Order (Order) to Validus and Associates (registered in Delaware, USA) pursuant to section 465 of the Financial Markets Conduct Act 2013 (the Act).

FMA finalises regulatory return questionnaire for licensed Financial Advice Providers

Following consultation on the proposed standard licence conditions for all classes of Financial Advice Providers (FAPs), the Financial Markets Authority (FMA) confirmed the information FAPs must provide in their regulatory returns.

Forestlands’ director, Rowan Kearns, pleads guilty to making false statements and charges related to financial reporting

The Financial Markets Authority today confirmed that Rowan Kearns, the founder and sole director of the Forestlands group of companies, last week pled guilty to charges in criminal proceedings for disclosure and financial record keeping breaches.

FMA appoints Sharon Thompson to new executive leadership team

We have appointed Sharon Thompson to our newly formed enterprise leadership team as Executive Director – Transformation and Operational Delivery.

FMA publishes 2022 annual report

Our 2022 annual report details a year that encompassed four main areas of focus for the regulator: monitoring and oversight of financial market participants; preparations for new financial markets legislation; building investor capability; and enforcement activity.

FMA publishes fund manager risk assessment report

The FMA has published its Managed Investment Schemes (MIS) Sector Risk Assessment, which analyses key risks in the funds management industry at a sector level.

FMA appoints Stuart Johnson to new Chief Economist role

We have appointed Stuart Johnson to the newly created role of Chief Economist. Stuart joins the FMA from London, UK, where he has been Head of Behavioural Economics, Conduct Risk and Customer Experience, at major international banking and insurance firms since 2015.

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Media releases – 2010