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The Financial Markets Authority (FMA) announced today its General Counsel, Nick Kynoch, had resigned and would leave the regulator in late February to take up a new role as General Counsel for Generate Kiwisaver.
A review of NZX by the Financial Markets Authority (FMA), released today, has found the stock exchange failed to meet its licensed market operator obligations due to insufficient technology resources.
The Financial Markets Authority (FMA) has published the findings of its obligations review of the ASX 24 derivatives market for the period of 1 July 2018 to 30 June 2020.
The Financial Advisers Disciplinary Committee (FADC) has today published its decision regarding a case brought by the FMA.
The Financial Markets Authority (FMA) has welcomed two court decisions that will see victims of convicted fraudsters Steven Robertson and Rodney McCall receive a portion of their money back. Mr McCall has also been sentenced to 12 months’ home detention for his crimes.
The Financial Markets Authority (FMA) has published its annual accredited body reports for CPA Australia and the New Zealand Institute of Chartered Accountants (NZICA).
The Financial Markets Authority (FMA) has today published its annual report for year to June 2020.
The Financial Markets Authority (FMA) has released guidance on financial products that incorporate non-financial factors, such as ‘green’ bonds and ‘socially responsible’ managed funds.
The Financial Markets Authority (FMA) has issued a formal warning to an individual for conduct that was likely to have amounted to market manipulation.
From 1 April to 5 November 2020, the FMA issued 61 warnings about investment scams, of which 21 (or 34%) were impostor scams, where the names and details of legitimate businesses are unlawfully used by scammers to trick investors, such as fake websites or social media accounts. By comparison, in the same timeframe during 2019, the FMA issued 40 warnings and only four (10%) were impostor scams. Read the media release.
The Financial Markets Authority (FMA) has opened consultation on proposed guidance about advertisements for financial products.
The Financial Markets Authority released its Audit Quality Monitoring Report for 2020. Audit quality has continued to improve, with the overall number of issues discovered by the FMA reducing over time.
The Financial Markets Authority (FMA) has released the final standard conditions for a full Financial Advice Provider licence and confirmed three classes of financial advice service, following an extensive consultation with the industry.
FinTech entrepreneur Binu Paul has been appointed as Specialist Lead, FinTech reporting to Director of Regulation Liam Mason, while Fiona Whyte, who has a banking and regulation background, has been appointed as Specialist Lead, Integrated Financial System and reports to Sarah Vrede, Director of Capital Markets.
The FMA has appointed a temporary manager to manage three schemes previously operated by Fund Managers Otago Limited (FMO). The schemes’ supervisor, Trustees Executors Limited, determined it was in the best interests of investors to remove FMO as manager of those schemes.