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The FMA welcomed the Court of Appeal's decision on the Pushpay insider trading appeal. The defendant was found guilty in August 2023 and sentenced to six months of community detention and a $100,000 fine. The Court of Appeal dismissed the appeals against the conviction and name suppression but increased the fine to $200,000. The case involved the resignation and share sell-down of former Pushpay co-founder Eliot Crowther in June 2018.
Westpac is to pay a penalty of $3.25 million for misleading customers entitled to advertised discounts as well as overcharging some of its business customers.
Kok Ding Cheng, an experienced retail investor, has been ordered to pay the Crown a pecuniary penalty of $198,000.
The FMA has announced the six fintech firms who will be testing their innovative products, services or business models in the FMA’s pilot regulatory sandbox.
Kevin Young, a former treasury accountant with Heartland Bank Limited, has today been sentenced to six months home detention and ordered to pay a fine of $11,241.
FMA charges former financial adviser Prem Gounder for dishonestly using a false document, reinforcing trust and accountability in NZ financial markets.
FMA files civil proceedings against IAG for fair dealing breaches, alleging misleading premium pricing and discount failures affecting 269,000+ customers.
The FMA Chief Executive Samantha Barrass today announced a review of the advice sector to help drive better outcomes for industry and consumers.
The Conduct of Financial Institutions (CoFI) regime is now in effect—FMA expects licensed banks, insurers, and lenders to treat NZ consumers fairly and uphold the fair conduct principle.
The FMA has published its updated approach to Outcomes-Focused Regulation (OFR) after considering wide ranging feedback from financial services firms, consumer groups and law firms.
The FMA has filed criminal charges against former financial adviser David McEwen, for failing to comply with an FMA stop order, due to concerns he is still contacting potential investors.
FMA warns Evco Pacific and its directors for breaching disclosure laws in a $2.8M share offer, highlighting investor protection under the FMCA.
FMA wins case against CBL's ex-CFO Carden Mulholland for disclosure breaches—setting precedent on CFO liability under NZ financial law.
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.