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The Financial Markets Authority (FMA) has released guidance on financial products that incorporate non-financial factors, such as ‘green’ bonds and ‘socially responsible’ managed funds.
The Financial Markets Authority (FMA) has issued a formal warning to an individual for conduct that was likely to have amounted to market manipulation.
From 1 April to 5 November 2020, the FMA issued 61 warnings about investment scams, of which 21 (or 34%) were impostor scams, where the names and details of legitimate businesses are unlawfully used by scammers to trick investors, such as fake websites or social media accounts. By comparison, in the same timeframe during 2019, the FMA issued 40 warnings and only four (10%) were impostor scams. Read the media release.
The Financial Markets Authority (FMA) has opened consultation on proposed guidance about advertisements for financial products.
The Financial Markets Authority released its Audit Quality Monitoring Report for 2020. Audit quality has continued to improve, with the overall number of issues discovered by the FMA reducing over time.
The Financial Markets Authority (FMA) has released the final standard conditions for a full Financial Advice Provider licence and confirmed three classes of financial advice service, following an extensive consultation with the industry.
FinTech entrepreneur Binu Paul has been appointed as Specialist Lead, FinTech reporting to Director of Regulation Liam Mason, while Fiona Whyte, who has a banking and regulation background, has been appointed as Specialist Lead, Integrated Financial System and reports to Sarah Vrede, Director of Capital Markets.
The FMA has appointed a temporary manager to manage three schemes previously operated by Fund Managers Otago Limited (FMO). The schemes’ supervisor, Trustees Executors Limited, determined it was in the best interests of investors to remove FMO as manager of those schemes.
The FMA’s guidance sets out the regulatory approach to the requirement that KiwiSaver fees not be unreasonable.
The Financial Markets Authority is using World Investor Week 2020 to remind thousands of Kiwi investors to do their homework and understand the risks of investing in financial markets after a steep rise in direct investment.
KiwiSaver has continued to grow despite market volatility and economic uncertainty caused by COVID-19 , according to the Financial Markets Authority’s (FMA) KiwiSaver Annual Report for the year ended March 2020.
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.