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CBL Corporation and four ex-directors fined $8.88M for misleading conduct and disclosure breaches, marking FMA’s first major case under the FMC Act.
The FMA said today that Paul Gregory, Executive Director, Response and Enforcement has resigned and accepted a role with ANZ Investment Management.
The FMA is urging New Zealanders to remain vigilant and protect themselves from investment scams this holiday season.
Natalie Ann Carter, a former Hawke’s Bay-based mortgage broker, has pleaded guilty to a further three criminal charges brought against her by the FMA.
FMA has has censured Go Financial Solutions Limited for failing to comply with several obligations under its financial advice provider (FAP) licence.
The FMA has made a permanent stop order against David Elgar McEwen and entities associated with him (McEwen and Associates).
The FMA today published the FMA annual report for the year to 30 June 2023.
The FMA has signed a Consultation Agreement with The Financial Markets Standards Board (FMSB).
FMA has cancelled Foundation Advice Limited (FAL)’s Financial Advice Provider (FAP) licence. FAL was an Auckland-based FAP offering advice on life and health insurance as well as KiwiSaver.
Medical Assurance Society New Zealand Limited (MAS) has been ordered to pay a pecuniary penalty of $2.1 million for making false and/or misleading representations to some customers, following proceedings brought by the Financial Markets Authority (FMA).
Media release from the FMA announcing release of 2023 Audit Quality Monitoring Report.
FMA has opened consultation on its approach to outcomes focused regulation, including the fair outcomes for consumers and markets it wants to see financial service providers focus on. The FMA welcomes feedback from all its stakeholders.
The FMA is reminding New Zealanders to remain vigilant to investment scams as part of Fraud Awareness Week 2023.
The FMA has made an interim stop order against David Elgar McEwen and entities associated with him.
The individual found guilty of insider conduct in relation to the sale of shares in Pushpay Holdings Limited (NZX:PPH) has been sentenced to six months community detention and must pay a fine of $100,000.