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A New Zealand-based director of Morgan DeVere Corporate Finance Limited has been sentenced to 75 hours of community service for breaching the Financial Service Providers (Registration and Dispute Resolution) Act 2008. Read more.
The FMA has issued civil proceedings in the High Court against four individuals in relation to trading in Oceania Natural Limited. The proceedings relate to alleged breaches of market manipulation prohibitions and the disclosure obligations in the Financial Markets Conduct Act 2013. Read more.
The FMA is pleased with the Supreme Court decision in the matter between ANZ and the FMA. Read more.
Mr Talbot has admitted to insider trading conduct and entered a guilty plea on a representative charge for a breach of disclosure obligations at Auckland High Court last month. Read more
Today the Reserve Bank of New Zealand and the FMA confirmed that all 11 banks involved in their ongoing review of conduct and culture, have provided their responses to individual feedback letters. Read more
The Financial Markets Authority (FMA) has published an Anti-Money Laundering and Countering the financing of terrorism (AML/CFT) monitoring report setting out the areas requiring further attention by the management and boards of the reporting entities it supervises. Read more.
The Financial Advisers Disciplinary Committee (FADC) has published its findings in a case referred to the Committee by the FMA. Read more.
The Financial Markets Authority (FMA) today confirmed two new appointments to its Executive Committee. Read more.
The Professional Conduct Committee of the Chartered Accountants Australia New Zealand (CA ANZ) has published its findings in relation to Richard Owen Dey and Michael Derek Wood. Read the findings here.
One man has been jailed and two men sentenced to home detention at the Auckland High Court for their part in using finance companies to try to save commercial businesses during the global financial crisis. Read more.
The FMA has published a guide for investors on the nuts and bolts of choosing, buying, owning and selling shares. Read more.
The Financial Markets Authority (FMA) is to remove the expiry dates for all licences issued under the Financial Markets Conduct Act 2013 in a process expected to be complete by the middle of 2019. Read more here.
The court of Appeal has allowed an appeal by the FMA in the matter of ANZ Bank New Zealand (ANZ) v Financial Markets Authority (FMA). Read more here.
The FMA published the findings of its obligations review of the ASX 24 derivatives market. See more in our media release.
The results of a second FMA, MBIE and industry trial demonstrates using communications based on behavioural insights encourages KiwiSaver members to make an active choice about their investment. The report, “Using behavioural insights to improve KiwiSaver outcomes” was published today.