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CLSA Premium New Zealand Limited (CLSAP NZ) has been ordered to pay a total pecuniary penalty of $770,000 for breaches of the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act, following proceedings brought by the Financial Markets Authority – Te Mana Tātai Hokohoko (FMA).
The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has announced the appointment of experienced international regulator Samantha Barrass as its new Chief Executive.
The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has issued a formal warning to Sharesies Limited and Sharesies Nominee Limited for failing to have sufficient anti-money laundering procedures, policies, and controls in place.
The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has filed civil High Court proceedings against Matthew Geoffrey Hill, the Chief Executive Officer of NZX-listed New Talisman Gold Mines Limited (NTL), for alleged information-based market manipulation and making false and misleading representations. The case relates to anonymous posts Mr Hill made about the company on the Sharetrader website’s online investor forum.
Eight out of 10 New Zealand investors have a more favourable view of investing and financial markets after using online investing platforms, according to research released today by the Financial Markets Authority - Te Mana Tātai Hokohoko.
Life insurer AIA has admitted making false and/or misleading representations to customers in proceedings brought by the Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko.
The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko - has today published an information sheet containing principles and resources to help licensed financial advice providers develop their cyber resilience.
The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has formally censured Wellington-based financial services firm FoxPlan Ltd, after one of its nominated representatives provided services he was not permitted to give and other representatives offered services to clients they were not permitted to give.
The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – is warning investors to be wary of scammers impersonating New Zealand-based derivatives issuer Rockfort Markets Limited.
Groups with an interest in the financial market transactions and payments are being asked for their views on how a new law governing the ‘plumbing’ of the financial system should be implemented.
General insurers are not prepared for new legislation that will require them to establish systems and processes to ensure good conduct and fair treatment of customers, according to the Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko.
The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has issued an infringement notice to equity crowdfunding service provider Equitise Pty Ltd for failing to file financial statements by their due date.
The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko - has closed its inquiries that followed Fonterra’s 2019 financial statements market announcement. The FMA did not find evidence to support regulatory action, including litigation, under the Financial Markets Conduct Act.
For the first time, the FMA’s 2021 Investor Confidence survey has found over 70% of investors are confident in the country’s financial markets, up from 66% in 2020. Read more about the survey and results here.
The Financial Markets Authority (FMA) – Te Mana Tātai Hokohoko – has cancelled the managed investment scheme manager licence of Fund Managers Otago (FMO).