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  3. 6 July 2015

    FMA settlement with Hanover defendants provides $18 million compensation for investors

    FMA has reached a settlement of its civil proceedings against the former directors of Hanover finance companies, and the former directors of a parent firm, Hanover Group Ltd. As part of the settlement, $18 million will be distributed to eligible investors who invested in the Hanover finance companies in the period from 7 December 2007 to 23 July 2008. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  4. 6 July 2015

    Risk indicators and descriptions of managed funds draft guidance

    In December 2014 we consulted on guidance for calculating risk indicators. After consultations, feedback and subsequent discussions with businesses who have been involved in producing draft product disclosure statements, we believe it would be useful to extend that guidance note to cover additional related matters.
    Tags
    Consultations, Business
    Type
    PDF, Guidance

  6. 3 July 2015

    Paul Gerard Drummond

    Paul Gerard Drummond, FSP30203, is a licensed Independent Trustee.
    Tags
    Independent trustee, Licensed entity, Roles, Business
    Type
    Page

  7. 1 July 2015

    Alliance Group Tokyo

    A recent warning has been issued by the Australian Securities and Investment Commission against conducting business with Alliance Group Tokyo.
    Tags
    Suspected scam, Scams
    Type
    Page

  8. 30 June 2015

    Southern Cross Benefits Limited Levy Waiver

    On 25 May 2015 the FMA granted a waiver of part of the FMA levy to Southern Cross Benefits Limited (SCBL).
    Tags
    Waivers, Investor information, Business, Consumer
    Type
    PDF

  9. 30 June 2015

    Disclosure of fees paid to auditors by listed issuers

    In our report, we advised market participants that we would continue to monitor the disclosure of audit and non-audit fee information by issuers, and follow up with another review to assess whether the quality of disclosures have improved.
    Tags
    Auditors, Directors, Offer disclosure for equity and debt offers, Roles, Reports and Papers, Business, News & Insights
    Type
    Page, Paper

  10. 30 June 2015

    User Guide: Annual AML/CFT Report

    The annual report is required by section 60 of New Zealand’s Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘the Act’). The annual report applies to
    activities that are covered by the Act.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF, Report

  11. 30 June 2015

    Disclosure of fees paid to auditors by listed issuers

    We have found significant improvements in the disclosure of fees paid to auditors of listed issuers in our 2015 report. This gives users of financial statements an accurate picture of the split of fees for audit and nonaudit services and, together with the additional disclosures we have seen in almost half of the annual report reviewed, allows users to have a better perception of the external auditor’s independence.
    Tags
    Auditors, Roles, Business
    Type
    PDF

  12. 29 June 2015

    NZX Obligations Review 2015

    The Financial Markets Conduct Act 2013 (FMC Act)
    requires the FMA to carry out a review, at least annually,
    of how well a licensed market operator is meeting the
    market operator obligations contained in section 314 of
    the FMC Act, and to publish a written report. This report was published in 2015.
    Tags
    Reports and Papers, Market operator, Roles, Monitoring, Business, News & Insights
    Type
    PDF

  13. 26 June 2015

    DIMS providers Calculation of returns for information sheet

    This information sheet outlines what methodology we expect providers of Discretionary Investment Management Services (DIMS) licensed under the Financial Markets Conduct Act 2013 (Act) (DIMS licensees) to use when calculating returns required by the Financial Markets Conduct Regulations 2014 (Regulations).
    Tags
    Discretionary investment management scheme (DIMS), Roles, Business
    Type
    PDF, Information Sheet

  14. 26 June 2015

    Calculation of returns for DIMS providers

    The Calculation of returns for DIMS providers information sheet outlines what methodology we expect providers of Discretionary Investment Management Services (DIMS) licensed under the Financial Markets Conduct Act 2013 (Act) (DIMS licensees) to use when calculating returns required by the Financial Markets Conduct Regulations 2014 (Regulations).
    Tags
    Discretionary investment management scheme (DIMS), Roles, Business
    Type
    Page, Guidance, Information Sheet