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The Financial Markets Authority (FMA) and the Serious Fraud Office (SFO) have worked together closely throughout this investigation. The evidence on which the charges laid by the SFO today are based could also give rise to charges by FMA under section 59 of the Securities Act.
A notice of discontinuance of civil proceedings was filed in the High Court, and FMA and Insured Group have prepared an agreed statement, which accompanies this release. Read more.
The Financial Markets Authority has made an interim order to stop allotment of securities by GFNZ Group Limited (formerly known as Geneva Finance Limited).
The Financial Markets Authority has welcomed the Government's release of a discussion document on third party funding options for financial regulation.
The Financial Markets Authority is urging investors to be wary of unacceptable sales practices being used in selling some KiwiSaver schemes.
Up to 700 financial advisers may have to stop giving advice on KiwiSaver, managed funds and other investment products on 1 July because they haven't completed the qualifications needed to be an Authorised Financial Adviser (AFA).
Changes to KiwiSaver in today's Budget Bill may be material to decisions about whether to invest in a KiwiSaver scheme.
The Court has confirmed that the 'deferred payment' offers made by Mr Bernard Whimp and associated entities were misleading. FMA accepts the Court's decision. Read more.
The FMA has ordered Mr Bernard Whimp and associated persons to include a warning from FMA at the beginning of any unsolicited offer they may make. Read more.
The Financial Markets Authority is warning investors against being classified as wholesale investors and losing retail 'mum and dad' investor rights and protections.
The Financial Markets Authority (FMA) has today issued a warning about unsolicited offers that may be made by Mr Bernard Whimp and entities associated with him.
Restoring investor confidence in New Zealand's financial markets is the major goal of the new Financial Markets Authority which was formally established today.
Departing Commissioner for Financial Advisers, David Mayhew, has completed his final statutory role as Chair of the Financial Advisers Disciplinary Committee chairing its first meeting, where the committee approved its rules and procedures for operation.
From 1 April, all financial advisers, or the companies they work for, have to be registered on the online Financial Service Providers Register, www.fspr.govt.nz. Advisers who should be on the register, but aren't risk hefty penalties.
The Securities Commission today released a risk assessment to help those it is responsible for supervising prepare to meet upcoming requirements of the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009.