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The FMA has issued warnings to four registered financial advisers in relation to providing advice on replacement insurance policies, for breaches of the obligation in section 33 of the Financial Advisers Act 2008 to exercise care, diligence and skill.
FMA published guidance on fair dealing in advertising and communications for licensed crowdfunding services, peer-to-peer lenders and the companies that offer financial products on these platforms.
FMA issued formal warnings to five reporting entities under Section 80 of the Anti-Money Laundering and Countering Financing of Terrorism Act (AML/CFT Act).
Corporate Governance handbook refreshed to remove any unnecessary overlap with the NZX Code, particularly to ensure the NZX Code is the primary source for requirements for listed companies.
FMA has filed criminal charges against a company and its New Zealand-based director for breaching the Financial Service Providers (Registration and Dispute Resolution) Act (FSP Act).
The FMA would like to express its condolences to the family and colleagues of Rob Cameron, who died late last week.
FMA is now open for applications from providers seeking to offer personalised financial advice to consumers through digital tools and platforms (so-called robo-advice).
FMA published its Conduct Outcomes Report for the calendar year 2017, setting out some of the key issues and actions taken by the regulator’s enforcement and supervision teams.
The Oscar-nominated documentary Abacus: Small Enough to Jail is just one of the highlights of the second New Zealand International Fraud Film Festival taking place in Auckland on Friday the 2nd and Saturday the 3rd of March.
FMA strongly encourages eligible investors of Hanover, or family members of eligible investors, who still need to claim their money, to contact the Hanover distribution team at Deloitte. Read more.
The Financial Markets Authority (FMA) has today published the accredited body reports for the New Zealand Institute of Chartered Accountants (NZICA) and CPA Australia.
The Financial Markets Authority (FMA) has revised its 2015 investor capability strategy based on the insights gained about New Zealand investors during the last two years.
The External Reporting Board (XRB) and Financial Markets Authority (FMA) have published the results of their joint analysis of Key audit matters – A stock-take of the first year in New Zealand.
The Financial Markets Authority (FMA) today published its first statistical report on peer-to-peer lending and crowdfunding in New Zealand.
The FMA has issued a formal warning to Fullerton Markets Limited under Section 80 of the AML/CFT Act. read more.