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The FMA has filed criminal proceedings against an individual for alleged insider trading relating to the buying and selling of shares in Heartland Group Holdings Limited (HGH).
FMA has published insights from its supervision of funds that claim to have ethical features.
FMA published research on the use of Artificial Intelligence (AI) in New Zealand’s financial services sector.
FMA has cancelled Rockfort Markets Limited’s (Rockfort) Derivative Issuer (DI) licence. The cancellation took place on 19 July 2024.
FMA has cancelled Integrity Advisers Insurance Limited’s (Integrity) Financial Advice Provider (FAP) licence for engaging in serious misconduct.
FMA charges ex-financial adviser with theft of $1.7M from clients; funds meant for investment were allegedly used for personal purposes.
The High Court has ordered Peter Harris, the former CBL Corporation Limited (In Liquidation) (CBLC) managing director, to pay a penalty of $1.4 million for continuous disclosure and misleading conduct.
FMA confirmed a number of entities within the Du Val group be placed in statutory management under the terms of the Corporations (Investigation and Management) Act 1989 (the Corporations Act).
Oceania Natural Limited defendants, Wei (Walker) Zhong and Lei (Regina) Ding have been banned from being a director, promoter or manager of an entity for nine years.
The High Court has placed Du Val Capital Partners Limited together with a number of entities within the Du Val Group, into interim receivership, at the request of the FMA. The interim receivership orders were also made in respect of Kenyon and Charlotte Clarke.
The FMA has issued a warning to an individual online trader for suspected market manipulation.
The FMA has published guidance on how providers of client money or property services, and custodians, can meet their obligations under the Financial Markets Conduct Act 2013 (FMC Act).
FMA has censured EC Markets previously known as (CTRL Investments Limited or CTRL) for breaching the obligations of its Derivatives Issuer licence.
The research is intended to support evidence-based conversations with industry and stakeholders on what fair treatment in financial services means.
The FMA has censured deVere New Zealand Limited (deVere) for failing to comply with its FAP licence obligations.