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FMA, Executive Director for Regulatory Delivery, Clare Bolingford spoke to the Financial Services Council annual conference today, on the theme of building consumer confidence.
The Financial Markets Authority (FMA) – has issued Enprise Group Limited (Enprise) a warning for failing to keep proper accounting records.
Standards for designated Financial Market Infrastructures (FMIs) have been issued by the Reserve Bank of New Zealand (RBNZ) and the Financial Markets Authority (FMA), following two rounds of public consultation.
From today the FMA will begin accepting licensing applications for financial institution licences under the Conduct of Financial Institutions (CoFI) regime.
Rowan Kearns, the founder and sole director of the Forestlands group of companies, was sentenced yesterday to four months’ community detention and 100 hours’ community work with a 9pm – 7am curfew. The sentence follows a prosecution brought by the FMA filed in the Nelson District Court in September 2020.
The penalty hearing for the first and second defendants in the Oceania Natural Limited (ONL) proceeding brought by the FMA was heard at the Auckland High Court last Thursday, 13 July.
The FMA has today released its scenario analysis information sheet to help climate reporting entities (CREs) meet their obligations under the Climate-Related Disclosures (CRD) regime.
FMA has released a consultation document on its proposal to introduce a new standard condition for certain financial market licence holders.
The FMA has made a permanent stop order (Order) that applies to Validus International LLC (Validus), Validus-FZCO, and associated persons of Validus.
The FMA will conduct yearly audit quality reviews (AQR) of every licensed audit firm in a refreshed Auditor and Regulation Oversight Plan 2023-2026.
The Auckland High Court has ordered Tiger Brokers (NZ) Limited to pay $900,000 for breaching the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act), in proceedings brought by the FMA.
NZX has complied with its obligations as a market operator, a report by the FMA has found.
The FMA today published its final guidance for financial institutions that distribute products and services through intermediaries as part of the Conduct of Financial Institutions (CoFI) regime.
The FMA has published three documents to support Climate Reporting Entities (CREs) in meeting their obligations under the new Climate Related Disclosure (CRD) reporting requirements.
FMA is urging New Zealanders to exercise extreme caution when dealing with a phony interest rates comparison website. The FMA believes the website is harvesting users’ personal information for criminals to sell fake investments.