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    5 December 2013

    FMA releases stakeholder feedback report

    News release5 December 2013 The Financial Markets Authority (FMA) today released the findings of the 2013 FMA stakeholder feedback report. The report looked at FMA’s progress since its establishment on 1 May 2011 and surveyed stakeholder views on the following topics: key achievements and shortcomings of FMA’s work to date gaps in FMA’s activities or mandate organisational capabilities of FMA prioritisation of key shortcomings and gaps to be addre...

    https://www.fma.govt.nz/news-and-resources/media-releases/fma-releases-stakeholder-feedback-report/

    12 July 2013

    FMA strategic leadership team appointments

    Media Release12 July 2013 The Financial Markets Authority (FMA) today announced the appointment of Sue Brown to the new position of Head of Strategy, Innovation and Engagement.From Monday 15 July, Ms Brown will step aside from her current duties as Head of Primary Regulatory Operations to lead FMA’s change management programme over the next nine months.FMA CEO Sean Hughes said the appointment reflected the need for FMA to prepare itself for upcoming le...

    https://www.fma.govt.nz/news-and-resources/media-releases/fma-strategic-leadership-team-appointments/

    31 August 2012

    FMA proposes overhaul of rules around property proportionate ownership schemes

    Media Release31 August 2012 The Financial Markets Authority has today announced its proposal to overhaul the class exemption notice for Real Property Proportionate Ownership Schemes. The current Securities Act exemption notice expires on 30 September and FMA does not propose to grant further similar exemptions. Instead, all issuers will be required to register a prospectus and investment statement, and appoint a statutory supervisor. FMA intends to issue...

    https://www.fma.govt.nz/news-and-resources/media-releases/fma-proposes-overhaul-of-rules-around-property-proportionate-ownership-schemes/

    5 April 2012

    FMA publishes revised draft guidance on effective disclosure

    Media Release5 April 2012 The Financial Markets Authority today published their revised draft guidance note for issuers, directors and advisers on preparation of effective disclosure documents. Following publication of the first draft guidance in late January, FMA has engaged with industry and consumer groups and received more than 60 submissions. As a result of that feedback, the second draft guidance note is markedly different to the first. FMA is now...

    https://www.fma.govt.nz/news-and-resources/media-releases/fma-publishes-revised-draft-guidance-on-effective-disclosure/

    20 June 2011

    Statement on Hubbard Investigation

    Media Release20 June 2011 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. However after careful consideration, both organisations are satisfied that the charges laid by the SFO will address this matter in a way that is proportio...

    https://www.fma.govt.nz/news-and-resources/media-releases/statement-on-hubbard-investigation/

    25 September 2012

    Financial Markets Authority AFA Update: Issue # 8

    AFA Questionnaire - final day to respond is Friday 28 September 2012 We've emailed all AFAs a questionnaire seeking input on how financial adviser regulation has impacted your business. We've been really encouraged by the high level of interest and to date we've had over 700 responses. Thank you for this input. Remember if you haven't yet responded the deadline is Friday 28 September 2012. Please take this opportunity to have your say. Complaints - offering 'AFA' services We often receive com...

    https://www.fma.govt.nz/news-and-resources/fma-update/afa-update-archive/financial-markets-authority-afa-update-issue-8/

    • FMA warning notices and alerts
    • Formal warning

    23 January 2015

    Notification of Warning: individual trader – market manipulation

    The Financial Markets Authority has issued a warning to an individual in relation to suspected market manipulation. Following an investigation by the FMA, it concluded that trading by the individual in question has likely breached the Securities Markets Act 1988. Read more.

    https://www.fma.govt.nz/news-and-resources/warnings-and-alerts/notification-of-warning-individual-trader-market-manipulation/

    • Investigations
    • Enforceable action
    • FMA Act

    13 December 2011

    Kiwi Finance Limited - Enforceable undertaking

    This undertaking by Kiwi Finance directors(Rhys Anthony Greensill, Rodney Seymour Roberts Greensill, Barry Noel Lambert and Christopher Bruce Simkin) was accepted by FMA to conclude its civil claim investigations after Kiwi Finance went into receivership in April 2008. It resulted in full restitution of investors' funds, together with an enforceable undertaking from the Directors. Read more.

    https://www.fma.govt.nz/news-and-resources/cases/kiwi-finance/

  20. 1 July 2019

    Overseas advisers & overseas clients

    The Financial Advisers Act applies to all financial advice received by clients in New Zealand, including advice provided by advisers based overseas. Certain sections of the Act also apply to New Zealand-based advisers giving advice to overseas clients. These include the obligation to act with care, diligence and skill and not to act in a misleading or deceptive manner.

    https://www.fma.govt.nz/compliance/licensing-and-registration/afas/overseas-advisers-and-overseas-clients/