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The FMA has filed charges against Garry James Patterson in the Christchurch District Court. The FMA alleges Mr Patterson was, or was holding out as being, in the business of providing financial services in contravention of the FSP Act. Read more.
The FMA has filed charges in the Auckland District Court alleging breaches of the insider trading prohibitions contained in the Financial Markets Conduct Act 2013 (FMCA). The charges were filed in relation to trading in shares of Eroad (NZX:ERD). The individuals charged are a current and a former Eroad employee.
The Financial Markets Authority today released updated guidance on sales and advice for KiwiSaver providers. KiwiSaver is an important part of New Zealanders’ future financial security and for some it is their first and only investment. This makes it critical that KiwiSaver members get the help they need to make good decisions.
The Financial Markets Authority (FMA) has today published a series of pointers for customers to use when they are dealing with financial services providers.
The Conduct Outcomes Report 2016 highlights the key issues and actions from the FMA’s enforcement, supervision and preventative activities for the financial year July 2015 to June 2016.
FMA published its updated Strategic Risk Outlook (SRO). This is a foundation FMA document and sets out how the regulator identifies and prioritises the key risks to its overall objective of fair, efficient and transparent markets.
The Financial Markets Authority (FMA) has issued a formal warning to 12 reporting entities under section 80 of the Anti-Money Laundering and Countering Financing of Terrorism Act (the Act).
An individual registered financial adviser appeared in the Auckland District Court yesterday in relation to various charges laid by the FMA under the Crimes Act.
Today the FMA published the final version of the guide into the FMA’s view of conduct. The FMA has also published submissions from industry, considered as part of the consultation process.
Earlier this year the FMA consulted on a guide on good conduct, signalling to New Zealand financial services providers what to expect from interaction and engagement with the conduct regulator.
The FMA has today published its third annual AML/CFT monitoring report.
A decade in the making, today marks the beginning of a new era in the regulation of New Zealand’s financial markets. The introduction of a stronger regime overseeing financial markets, based on the good conduct of providers, has been in train since before the establishment of the Capital Markets Development Taskforce in 2008.
The FMA’s 2016 Audit Quality Report reflects that improvements continue to be made in audit quality. The report shows the sector is increasingly aligned with the expectations of the FMA and international auditing standards and global best practice. However, it also notes that files reviewed still show that further improvement is necessary.
The inaugural International Fraud Film Festival will be opened by Hon Judith Collins, the Minister responsible for the Serious Fraud Office, on Friday, 18 November at Auckland’s Q Theatre. The festival concludes this year’s Fraud Awareness Week.
Cold calls from strangers about investment opportunities are not only sure-fire losers, but illegal, and the Financial Markets Authority says the best response is the dial tone.