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The Financial Markets Authority (FMA) has concluded its investigation into Pacific Edge Limited regarding potential breaches of its continuous disclosure obligations.
The two directors of Apple Fields Limited have today been fined $30,000 each at the Christchurch District Court for breaches of the Financial Reporting Act 1993.
The FMA confirms that it is undertaking an investigation into Arena Capital Limited (Arena), trading as BlackfortFX (Blackfort). Read more.
The Financial Markets Authority (FMA) has confirmed that a number of offshore firms have recently been removed from the Financial Services Provider Register (FSPR). While the Registrar of Companies maintains the FSPR, the FMA has powers to direct the Registrar to remove companies from the FSPR where it is likely that a company is giving a false or misleading impression about the extent to which it is regulated in New Zealand.
The Financial Markets Authority (FMA) has provided smaller businesses that offer a Discretionary Investment Management Service (DIMS) relief from some financial reporting requirements.
The two directors of SPI Property Fund Limited have today been fined $25,312 each for breaches of the Financial Reporting Act in the Auckland District Court. Read more.
FMA has today published results from its first questionnaire of AFAs in New Zealand. The report provides insights into the shape and practices of this sector of the financial advice industry.
FMA encourages consumers who are considering investing in bank capital notes to read its new guide on this type of investment product.
FMA has recently signed MOUs with the ISO and the BOS. This follows the completion of MOUs with the FDRS and FSCL last year. The FMA and the dispute resolution schemes already enjoy a cooperative relationship and these MOUs formalise and enhance that collaboration.
Information for investors will now be provided in a format that is easier-to-understand and more accessible than before. The way that financial products are made available to the public has been overhauled under the FMC Act. The first New Zealand financial products to be offered under the new regulations have started to appear on the ‘Disclose’ website this month.
FMA has launched a refreshed website, making it easier for regulated businesses to quickly find the information they need.
FMA has issued a formal warning to MSL Capital Markets Limited - FSP225586 (MSL) under section 80 of the AML/CFT Act.
FMA has spelt out its practical approach to its supervision responsibilities, as the financial services and markets regulator increases the emphasis on supervision under the newly-effective FMC Act 2013.
FMA welcomes today’s announcement by the Minister of Commerce and Consumer Affairs, Paul Goldsmith, about the review of legislation governing financial advisers.
FMA is warning people to beware of a company offering a risk-free, high-return investment programme.