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A report on the FMA's supervision activities over the past 18 months says large parts of the financial services sector are working hard to meet the FMA’s expectations, but called for further and more widespread improvements to governance and compliance.
The Financial Markets Authority (FMA) has imposed conditions on the derivatives issuer licence of CLSA Premium New Zealand Limited (CLSAP NZ, formerly KVB Kunlun) that prevent the firm from making an offer to or receiving further funds from, retail investors in relation to derivatives.
The Financial Markets Authority has filed criminal charges against an individual in relation to the Forestlands group of companies, for alleged disclosure and financial record keeping breaches.
Pegasus Markets Ltd and its New Zealand-based director, Michael REps, have been found guilty of all criminal charges brought by the Financial Markets Authority (FMA). Read the full media release here.
FMA is warning people to be wary of scammers attempting to impersonate the FMA as part of a money transfer scam.
FMA releases investor guide to bonds as market volatility continues
The Financial Markets Authority (FMA) has strengthened its executive team, appointing Paul Gregory to the newly created role of Director of Investment Management.
The Financial Markets Authority (FMA) today published an independent report into the passive and active investment management styles used by KiwiSaver providers.
A survey that the FMA has done shows that some KiwiSaver members who recalled seeing their projected lump sum planned to take some form of action. The most common planned action was increasing contributions.
MBIE have announced details of FMA levy amounts for 2021/22 and 2022/23.
The Financial Markets Authority (FMA) has today released an information sheet outlining its priorities over the next three to six months as New Zealand continues to respond to COVID-19.
A report identifying key risks in the Derivatives Issuer (DI) sector and highlighted future focus areas to improve sector compliance. Firms issuing derivatives to retail customers in New Zealand must be licensed by the FMA. The sector has approximately 23,000 accounts operated by retail customers.
According to the results of our survey Kiwis are confident financial markets will recover from COVID-19, despite the majority of investors experiencing losses as a result of COVID-19,. Find out more
NZX met its statutory obligations as a licensed market operator for the period 1 January to 31 December 2019, according to the Financial Markets Authority (FMA)’s annual review. The NZX General Obligations Review, published by the FMA today, found that NZX complied with its market operator obligations during the review period. Read the full media release and NZX General Obligations Review here.
The Financial Markets Authority (FMA) has today released the Statement of Intent (SOI) and Statement of Performance Expectations (SPE). Together the publications set out how the FMA will measure and report on progress against its performance measures and targets. Read both documents and the full media release here.