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The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has directed Simplicity NZ Limited to remove advertising materials that breached fair dealing provisions¹, and ensure future advertising is compliant.
The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has censured CTRL Investments Limited for contravening the conditions of its derivatives issuer (DI) licence.
The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has filed proceedings against two individuals for alleged insider trading in relation to the sale of shares in Pushpay Holdings Limited (NZX:PPH).
The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko - has today published its annual report for the year to June 2021.
The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has approved Smartshares Limited as a passport fund under the Asia Region Funds Passport (ARFP).
The Reserve Bank of New Zealand – Te Pūtea Matua and the Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko have released their finalised framework for assessing the systemic importance of Financial Market Infrastructures (FMIs) following consultation with industry and stakeholders.
Medicinal cannabis company, Medical Kiwi Limited has admitted to breaching the fair dealing provisions of the Financial Markets Conduct Act (FMCA). Read more in the media release from the FMA.
The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has formally warned Squirrel P2P Trustee Limited for failing to carry out certain obligations as a custodian. The entity provides a custodial service for the peer-to-peer lending service of Squirrel Money Limited.
The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has cancelled the transitional financial advice provider (FAP) licence of Wisdom House Investment Partners Limited, after its sole financial adviser engaged in serious misconduct at his previous employer.
The FMA has filed High Court civil proceedings against Kiwibank under the fair dealing provisions of the FMC Act.
The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has lifted the suspension on the derivatives issuer licence of AxiCorp Financial Services Pty Limited (trading as AxiTrader), effective as of 2 December 2021.
A new report by the Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko - has found that derivatives issuers (DI’s) and cryptocurrency service providers are in the high risk category for meeting anti-money laundering and counter-terrorism financing obligations.
FMA has published its annual accredited body reports for CPA Australia and the New Zealand Institute of Chartered Accountants (NZICA), 2021.
The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – said today that its Director of Capital Markets, Sarah Vrede, had resigned. The FMA’s Director Investment Management Paul Gregory has been appointed Acting Director of Capital Markets, effective from 29 November 2021.
The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has released three new self-assessment tools to help financial advice providers (FAPs) prepare for full licensing.