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FMA and NZX have signed a Memorandum of Understanding. The MoU sets out the framework for engagement and co-operation between the FMA and NZX, taking into account their complementary regulatory responsibilities for New Zealand’s capital markets.
FMA has issued a warning to an individual online trader in relation to suspected market manipulation trading conduct.
The FMA has been accepted on to the International Forum of Independent Audit Regulators (IFIAR), in recognition of the robust oversight system the FMA has established in New Zealand.
The FMA has been monitoring promotional materials and advertisements that encourage people to transfer their UK pension scheme entitlements, and has requested that certain materials be removed from publication.
FMA has closed its inquiries into potential civil claims relating to South Canterbury Finance Limited (SCF). After careful consideration, the FMA has decided not to take any further action. Read more.
FMA published its seven-point strategic risk outlook, identifying the areas where it will apply the majority of its regulatory effort in the medium-term. The priorities will direct the FMA’s work in licensing, supervision, compliance and enforcement.
Media release relating to the launch of the FMA Audit Quality Review report 2014
The Financial Markets Authority said it has reached a settlement with ANZ Bank New Zealand Limited regarding the sale, promotion and marketing of rural interest rate swaps to rural customers. Read more.
The second phase of New Zealand’s new capital markets and financial services law takes effect from 1 December. Phase two includes licensing provisions that extend to several hundred further businesses, and a major shift in the quality of investor disclosure for financial products.
The Financial Markets Authority (FMA) has published its 2014 annual report for the year ended 30 June 2014. During this period the FMA began implementing the largest statutory change in financial services in 30 years. Engaging with the industry to implement the Financial Markets Conduct Act 2013(FMC Act) was one of six major achievements outlined in the report, as the FMA continued to deliver its ongoing regulatory responsibilities.
Media release relating to new members for the Financial Adivers Code Committee
Murray Rex Alcock and Allister Ronald Knight (the Directors), of the various entities comprising the SPI group of companies (including SPI Property Fund Limited), have provided enforceable undertakings to the FMA. Read more.
The Financial Markets Authority (FMA) has published a revised version of its handbook on corporate governance for consultation.
FMA has published a revised version of its handbook on corporate governance for consultation.
The Financial Markets Authority (FMA) Chief Executive Rob Everett has set out the evolving approach for the FMA as the regulator’s mandate expands under the Financial Markets Conduct Act, taking effect from 1 December.