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  1. 15 November 2023

    Consultation: Proposed fair outcomes for consumers and markets

    Have your say on the proposed fair outcomes and approach that will form the basis of how the FMA engages with financial service providers. Submissions are now closed.
    Tags
    Consultations, Authorised body under a FAP, Client money or property services provider, Cryptocurrencies, Directors, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Crowdfunding Service Provider, Offers of financial products, Derivative Issuer, Independent Trustee, Peer to peer lending provider, Roles, Compliance, Business, Interposed persons under new financial advice regime, Managed investment schemes, Supervisor
    Type
    Page

  2. 13 November 2023

    Financial Market Infrastructures Act Designation Notice NZ Clear 2023

    This notice is issued under Clause 4 of Schedule 1 of the Financial Markets Infrastructures Act 2021 by the Reserve Bank of New Zealand and the Financial Markets Authority.
    Tags
    Financial market infrastructures, Market operator, Roles, Business
    Type
    PDF

  3. 13 November 2023

    Make a complaint

    We investigate a range of complaints about the conduct of individuals and businesses that operate in our financial markets. This page talks about when you should complain to us and who better to contact for complaints that fall outside of our remit. You will also find out how to make a complaint and the information we need in order to process a complaint.
    Tags
    Complaint, Business
    Type
    Page

  5. 13 November 2023

    Make a protected disclosure (whistleblowing)

    If you believe there has been serious wrongdoing in relation to the financial markets by the organisation you work for, you can make a protected disclosure (whistle blowing).
    Tags
    Business, Consumer
    Type
    Page

  7. 13 November 2023

    Financial Market Infrastructures Act Designation Notice (NZClear) 2023

    Financial Market Infrastructures Act Designation Notice NZ Clear 2023 was issued under clause 4 of Schedule 1 of the Financial Market Infrastructures Act 2021 by the Reserve Bank of New Zealand and the Financial Markets Authority, and has legal effect.
    Tags
    Designations, Business
    Type
    Page

  10. 7 November 2023

    Consumer

    This section of our website provides useful information for consumers or investors on investment basics; getting financial advice, everyday finance such as banking and insurance and financing retirement with a superannuation fund or KiwiSaver.
    Tags
    Investing, Consumer
    Type
    Page

  11. 3 November 2023

    FMA acknowledges insider trading sentence

    The individual found guilty of insider conduct in relation to the sale of shares in Pushpay Holdings Limited (NZX:PPH) has been sentenced to six months community detention and must pay a fine of $100,000.
    Tags
    Media release, Insider trading, Enforceable undertaking, Powers, Business, News & Insights, Enforcement
    Type
    Page

  12. 3 November 2023

    Insider trading case involving Pushpay shares

    The FMA has filed proceedings against two individuals for alleged insider trading in relation to the sale of shares in Pushpay Holdings Limited (NZX:PPH).
    Tags
    Insider trading, Enforcement
    Type
    Page

  14. 2 November 2023

    Vaquita Capital – Overseas warnings, withholding investor funds

    Vaquita Capital uses a number of different names including Vaquita Fund, Vaquita Fund SLP, Vaquita Services Limited, I-Global Management and Robinson and Cooper Wealth Management.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page