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Former CBL Group Chief Financial Officer (CFO), Carden Mulholland, has been ordered to pay a pecuniary penalty of $641,250 for breaches of the continuous disclosure provisions in the Financial Markets Conduct Act 2013 (FMCA), in proceedings brought by the FMA.
FMA confirms ongoing investigation into STIG’s past disclosures; new PDS lodged 16 June 2025 with major updates for investors.
Filcare’s cancelled licence follows the termination of its distribution agreement with Fidelity Life Assurance Company Limited and AIA New Zealand Limited, and the FMA's subsequent inquiry into its affairs.
The FMA has today released The Financial Conduct Report designed to provide clarity to the financial sector on what to expect from the regulator in the year ahead.
FMA’s 2025 review confirms NZX’s compliance with market operator obligations, highlighting governance, resilience, and regulatory progress.
FMA seeks feedback on exempting listed issuers from some unsolicited offer rules for debt buy-backs to ease regulation and boost efficiency.
The FMA has issued an infringement notice to Pharmazen Limited for failing to file financial statements on time.
FMA's Good Cents report reveals key insights on Kiwi savings, debt habits, and gaps in financial advice and investment choices.
The FMA has issued a public warning about a managed investment scheme operated by Jesse Joseph Vaughan and former NZ company Crypto Partners Limited (CPL).
The FMA welcomed the Court of Appeal's decision on the Pushpay insider trading appeal. The defendant was found guilty in August 2023 and sentenced to six months of community detention and a $100,000 fine. The Court of Appeal dismissed the appeals against the conviction and name suppression but increased the fine to $200,000. The case involved the resignation and share sell-down of former Pushpay co-founder Eliot Crowther in June 2018.
Westpac is to pay a penalty of $3.25 million for misleading customers entitled to advertised discounts as well as overcharging some of its business customers.
Kok Ding Cheng, an experienced retail investor, has been ordered to pay the Crown a pecuniary penalty of $198,000.
The FMA has announced the six fintech firms who will be testing their innovative products, services or business models in the FMA’s pilot regulatory sandbox.
Kevin Young, a former treasury accountant with Heartland Bank Limited, has today been sentenced to six months home detention and ordered to pay a fine of $11,241.
FMA charges former financial adviser Prem Gounder for dishonestly using a false document, reinforcing trust and accountability in NZ financial markets.