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Customers of financial institutions and casinos can expect more stringent identity checks in the lead up to 30 June 2013 when anti-money laundering legislation comes fully into force. Businesses now have access to guidance on the standard those identity checks should meet.
FMA will next week begin making visits to Authorised Financial Advisers (AFAs) as it steps up its monitoring activities under the Financial Advisers Act.
The Financial Markets Authority is reminding Canterbury residential Red Zone homeowners seeking financial advice about payout offers to check they're dealing with registered professionals.
Financial service businesses will be learning about the need to tighten up customer identification processes and look out for suspicious financial transactions in a series of seminars around the country that started in Wellington on Monday.
The Financial Markets Authority (FMA) has ordered Share Buyers Limited (Share Buyers) and associated persons to include a warning from FMA in a prominent position at the beginning of any document making an unsolicited offer to buy shares or other securities.
The Financial Markets Authority has made three further appointments to its strategic leadership team under Chief Executive Sean Hughes, and announced its new Auckland office premises.
The Board of the Financial Markets Authority has appointed Dimity Kingsford-Smith, a Professor of Law at the University of New South Wales, to the Code Committee for Authorised Financial Advisers for a term of three years.
FMA has completed its inquiry into continuous disclosure issues in relation to comments made by Mr Mark Weldon, CEO of NZX Ltd, concerning the carrying value of its subsidiary Clear Grain Exchange.
The Financial Markets Authority has strengthened its strategic leadership team with three appointments to key positions in support of Chief Executive Sean Hughes.
NZF Money Limited (NZF) has withdrawn its 2010 debt prospectus from the market following an investigation by the Financial Markets Authority (FMA).
The FMA has issued warning about unsolicited offers that may be made by Share Buyers Limited or Australian-based Stock & Share Trading Company Pty Limited. Read more.
From Friday 1 July, financial advisers will be regulated under new rules administered by the Financial Markets Authority (FMA).
The Financial Markets Authority has issued a warning to SuperLife Limited and SuperLife Trustees Limited (together 'SuperLife') to overhaul its KiwiSaver sales practices.
The Financial Markets Authority (FMA) and the Serious Fraud Office (SFO) have worked together closely throughout this investigation. The evidence on which the charges laid by the SFO today are based could also give rise to charges by FMA under section 59 of the Securities Act.
A notice of discontinuance of civil proceedings was filed in the High Court, and FMA and Insured Group have prepared an agreed statement, which accompanies this release. Read more.