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The FMA acknowledges the sentencing today in the Serious Fraud Office’s criminal prosecution of Mr Jimmy McNicholl and Mr Lance Ryan, also known as Lance Jared Thompson. These individuals were prosecuted in relation to a Ponzi scheme in Christchurch that resulted in hundreds of people investing a total of $8.3m.
NZX generally complied with its obligations during the review period. However, a lack of market experience in its market surveillance function meant NZX did not meet its obligation to have adequate arrangements to monitor the conduct of participants on, or in relation to its markets.
RBNZ and FMA briefed the Finance and Expenditure Select committee on the Australian Royal Commission (RC) into Misconduct in Banking, Superannuation and Financial Services Industry, and the response by regulators in New Zealand.
Regulators' letter to Life Insurers following the Australian Royal Commission enquiry into misconduct in banking, superannuation and other financial services.
The Financial Markets Authority (FMA) and NZX Regulation (NZXR) today published a study carried out by Victoria University student Anna Hensen, ‘New Zealand Equity Market Cleanliness for the years 2010-2016’.
The FMA has developed a KiwiSaver health checker tool to help people answer four important questions about their account.
The FMA intends to file a case stated procedure to seek the court’s determination on whether continuous disclosure obligations for listed issuers continue to apply when the issuer is in voluntary administration. Read more.
FMA report details how nine life and health insurance companies spent $34 million on non-financial incentives like trips, business support and conferences for financial advisers over a two-year period.
Second company and director charged over FSPR abuse. The company is charged with two counts of breaching section 12 of the FSP Act.
FMA published statistical report on Authorised Financial Advisers (AFAs) in New Zealand for 2017. The FMA requires AFAs to submit an annual information return each year.
The interim results of a second FMA, MBIE and industry trial has shown targeted communications created using behavioural insights, are more likely to lead KiwiSaver members to make an active decision about their fund.
The FMA and the RBNZ have sent the letter below to the chief executives of New Zealand’s licensed banks and the NZBA.
The FMA has applied to the High Court to place the Forestlands companies numbered 2-20 into liquidation. Read more.
FMA published the findings of a review of quarterly fund updates which looked at whether fund managers are meeting their legal requirements to produce updates that are both easy to find and easy to read for investors.
The FMA is seeking submissions on its proposal to enable companies offering investments to publish product disclosure statements (PDS) in both te reo Māori and English.