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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.
The FMA is consulting on revised guidance on advice for KiwiSaver sales. The intention of the revised guidance, published today for consultation, is to encourage advisers and financial firms to help New Zealanders make good decisions about KiwiSaver.
The FMA has acknowledged the announcement by Commerce and Consumer Affairs Minister Paul Goldsmith of government approval to increase FMA funding. See Ministers announcement here.
New Zealand’s latest film festival tackles a form of fraud that has hit news headlines around the world in recent years – the issue of corruption in sport. The film will be followed by a panel discussion with the sweetheart of NZ sport Valerie Adams, presenter Hayley Holt and Paul David QC who will discuss the effect corruption can have in the sporting arena.
The inaugural New Zealand International Fraud Film Festival (Fraud Film Festival) is being held on 18 & 19 November at Auckland’s Q Theatre and is timed to coincide with Fraud Awareness Week. The festival is affiliated with the Dutch Fraud Film Festival which first took place in 2014.