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A report identifying key risks in the Derivatives Issuer (DI) sector and highlighted future focus areas to improve sector compliance. Firms issuing derivatives to retail customers in New Zealand must be licensed by the FMA. The sector has approximately 23,000 accounts operated by retail customers.
According to the results of our survey Kiwis are confident financial markets will recover from COVID-19, despite the majority of investors experiencing losses as a result of COVID-19,. Find out more
NZX met its statutory obligations as a licensed market operator for the period 1 January to 31 December 2019, according to the Financial Markets Authority (FMA)’s annual review. The NZX General Obligations Review, published by the FMA today, found that NZX complied with its market operator obligations during the review period. Read the full media release and NZX General Obligations Review here.
The Financial Markets Authority (FMA) has today released the Statement of Intent (SOI) and Statement of Performance Expectations (SPE). Together the publications set out how the FMA will measure and report on progress against its performance measures and targets. Read both documents and the full media release here.
Investor confidence has remained steady for the third year running, in spite of the volatility caused by COVID-19, a Financial Markets Authority (FMA) survey has found. Read the summary and full report here.
The Financial Markets Authority (FMA) is encouraging advisers to apply for their transitional licences by the end of the year, as the Government announces the start date to the new financial advice regime. Read the full media release here.
The Financial Markets Authority (FMA) has filed civil High Court proceedings against CLSA Premium New Zealand Limited (CLSAP NZ) for alleged breaches of the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act.
The plan sets out the areas the FMA will focus on as part of its role in reviewing the quality of Financial Markets Conduct Act audits, and contributing to the integrity and development of the audit profession.
The Financial Markets Authority (FMA) has opened consultation on the proposed full licence standard conditions for Financial Advice Providers, as part of the new financial advice regime.
The Financial Markets Authority (FMA) has considered the need for regulatory relief in relation to director liability thresholds, following changes in Australia.
The FMA’s online KiwiSaver tracker tool has been updated with the quarterly fund information for March 2020, reflecting the volatility that hit markets in the first quarter of the year. View the latest data in the FMA KiwiSaver tracker tool here.
Rodney McCall, also known as Rodney Crichton, has today plead guilty to charges brought by the Financial Markets Authority (FMA).
The Financial Markets Authority (FMA) has welcomed the Court of Appeal’s decision to dismiss a sentence appeal by Steven Robertson, who defrauded victims of $2.1 million through PTT Limited.
The Financial Markets Authority (FMA) has filed High Court proceedings against ANZ Bank New Zealand (ANZ), alleging the bank charged some customers for credit card repayment insurance (CCRI) policies that offered those customers no cover.
KiwiSaver investors will see how much money their KiwiSaver investments could provide at age 65 when they open their annual statements this year.