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The FMA has today published an information sheet specifically for smaller firms to assist in establishing and maintaining a Fair Conduct Programme (FCP) and applying for a Financial Institution (CoFI) licence.
The FMA has filed civil proceedings against Booster Investment Management Limited (BIML), a wholly owned subsidiary of Booster Financial Services Limited.
FMA consults on new conditions for Derivatives Issuers, proposing limits on leverage and stricter suitability checks to protect NZ retail investors.
The FMA acknowledges the High Court’s decision to adjourn the trial for the FMA’s Initial Public Offer (IPO) proceeding against CBLC (in liquidation).
The FMA has cancelled Stockfox Limited’s (Stockfox) Financial Advice Provider (FAP) licence with effect from 30 May 2024.
FMA releases first monitoring report on Financial Advice Providers, highlighting progress, good practices, and areas needing improvement under new regime.
Former CEO Matthew Hill fined $100K for misleading posts about New Talisman Gold, breaching FMC Act by concealing his identity on investor forums.
FMA files civil case against Rangi Savage for unregulated share offers, false statements, and FMC Act breaches involving 160+ investors and NZD$122K.
FMA issues updated guide on liquidity risk management, urging MIS managers to ensure fair, effective fund operations during market volatility.
FMA appoints Louise Unger as Executive Director of Response and Enforcement, bringing extensive legal, risk, and financial services experience.
The FMA has cancelled the crowdfunding services licence of Equitise Pty Ltd (Equitise). The cancellation took effect on 3 April 2024.
FMA sets new standard for business continuity and tech resilience, requiring incident reporting within 72 hours and secure online notification by July 2024.
FMA issues a consultation in response to industry request for a more efficient route to market for green, social and sustainability bonds.
FMA has issued warnings to Southern Cross Medical Care Society (SCMCS) and Southern Cross Pet Insurance (SPCI) for failing to apply advertised discounts to each entities’ respective insurance products.
The FMA has reached agreement with former CBL Corporation Limited (In Liquidation) (CBLC) managing director Peter Harris on claims relating to continuous disclosure breaches and misleading conduct (the Continuous Disclosure Proceeding).