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Following consultation on the proposed standard licence conditions for all classes of Financial Advice Providers (FAPs), the Financial Markets Authority (FMA) confirmed the information FAPs must provide in their regulatory returns.
The Financial Markets Authority today confirmed that Rowan Kearns, the founder and sole director of the Forestlands group of companies, last week pled guilty to charges in criminal proceedings for disclosure and financial record keeping breaches.
We have appointed Sharon Thompson to our newly formed enterprise leadership team as Executive Director – Transformation and Operational Delivery.
Our 2022 annual report details a year that encompassed four main areas of focus for the regulator: monitoring and oversight of financial market participants; preparations for new financial markets legislation; building investor capability; and enforcement activity.
The FMA has published its Managed Investment Schemes (MIS) Sector Risk Assessment, which analyses key risks in the funds management industry at a sector level.
We have appointed Stuart Johnson to the newly created role of Chief Economist. Stuart joins the FMA from London, UK, where he has been Head of Behavioural Economics, Conduct Risk and Customer Experience, at major international banking and insurance firms since 2015.
Cigna to pay $3.5 million penalty for making false and misleading representations about customers’ insurance premiums.
We have suspended the crowdfunding provider licence of The Property Crowd after the entity materially contravened its licensee obligations.
FMA notes the New Zealand Institute of Chartered Accountants (NZICA) has released its disciplinary decisions arising from the 2015 PwC audit of the formerly NZX-listed Wynyard Group.
We have filed civil High Court proceedings against Tiger Brokers for allegedly breaching the AML/CFT Act.
We have formally warned Pencarrow Private Equity Management Limited for breaching record-keeping requirements under the AML/CFT Act.
FMA has published the findings of its market operator obligations reviews for the Australian Securities Exchange Limited (ASX 24 derivatives market) and Singapore Exchange Derivatives Trading Limited (SGX-DT dairy derivatives market).
FMA has filed High Court civil proceedings against Kok Ding Cheng, for alleged market manipulation of NZX-listed shares of Rua Bioscience Limited (RUA).
We have published the 2022 accredited body reports for CPA Australia and the New Zealand Institute of Chartered Accountants (NZICA).
The FMA is continuing to progress preparations for the Financial Markets (Conduct of Institutions) Amendment Act 2022 (CoFI), with the release of a suite of materials for financial institutions.