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The Financial Markets Authority (FMA) is considering regulatory action against three large financial institutions or qualifying financial entities (QFEs) following a review of insurance replacement business practices.
The FMA has completed a preliminary assessment of the information obtained as part of the CBL investigation to date and has concerns about potential breaches of the Financial Markets Conduct Act 2013 and the Companies Act 1993. Read more.
Confidence in New Zealand’s financial markets has remained stable since 2017, despite uncertainty around a potential trade war, volatile global markets and a focus on the culture and conduct of major financial institutions in Australia and New Zealand.
Garry James Patterson has been sentenced to 200 hours’ community work and 3 months’ community detention at the Christchurch District Court after pleading guilty to two charges brought by the Financial Markets Authority (FMA).
The FMA acknowledges the sentencing today in the Serious Fraud Office’s criminal prosecution of Mr Jimmy McNicholl and Mr Lance Ryan, also known as Lance Jared Thompson. These individuals were prosecuted in relation to a Ponzi scheme in Christchurch that resulted in hundreds of people investing a total of $8.3m.
NZX generally complied with its obligations during the review period. However, a lack of market experience in its market surveillance function meant NZX did not meet its obligation to have adequate arrangements to monitor the conduct of participants on, or in relation to its markets.
RBNZ and FMA briefed the Finance and Expenditure Select committee on the Australian Royal Commission (RC) into Misconduct in Banking, Superannuation and Financial Services Industry, and the response by regulators in New Zealand.
The Financial Markets Authority (FMA) and NZX Regulation (NZXR) today published a study carried out by Victoria University student Anna Hensen, ‘New Zealand Equity Market Cleanliness for the years 2010-2016’.
Regulators' letter to Life Insurers following the Australian Royal Commission enquiry into misconduct in banking, superannuation and other financial services.
The FMA has developed a KiwiSaver health checker tool to help people answer four important questions about their account.
The FMA intends to file a case stated procedure to seek the court’s determination on whether continuous disclosure obligations for listed issuers continue to apply when the issuer is in voluntary administration. Read more.
FMA report details how nine life and health insurance companies spent $34 million on non-financial incentives like trips, business support and conferences for financial advisers over a two-year period.
Second company and director charged over FSPR abuse. The company is charged with two counts of breaching section 12 of the FSP Act.
FMA published statistical report on Authorised Financial Advisers (AFAs) in New Zealand for 2017. The FMA requires AFAs to submit an annual information return each year.
The interim results of a second FMA, MBIE and industry trial has shown targeted communications created using behavioural insights, are more likely to lead KiwiSaver members to make an active decision about their fund.