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  2. 1 July 2016

    Staff and board members gifts and hospitality - OIA response

    OIA response, dated 6 July 2018, to a request regarding FMA’s policy surrounding staff and board members accepting gifts and/or hospitality and, a list of any gifts and/or hospitality accepted staff and board members since 1 July 2016.
    Tags
    FMA
    Type
    PDF, OIA

  3. 30 June 2016

    Smartshares Limited

    Smartshares Limited, FSP26531, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  5. 30 June 2016

    aml cft annual report user guide 2016

    This user guide can be used as a reference for AML CFT reporting entities when completing their annual report
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF, Information Sheet

  6. 30 June 2016

    Apple Fields Limited - Justin Prain and Mark Schroeder

    FMA brought charges against directors of Apple Fields Limited (Apple Fields) for breaches of the Financial Reporting Act 1993, by not filing financial statements for three years (2011, 2012 and 2013).
    Tags
    Financial reporting breaches, Breach, Enforcement
    Type
    Page

  7. 30 June 2016

    Trade24 Investments Limited

    Trade24 Investments Limited is not registered as a Financial Services provider in New Zealand and is therefore not allowed to offer financial services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  10. 29 June 2016

    NZX Obligations Review 2016

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2016.
    Tags
    Reports and Papers, Market operator, Roles, Monitoring, Business, News & Insights
    Type
    PDF

  13. 29 June 2016

    Replacing life insurance — who benefits?

    The FMA has previously raised concerns about the extent of replacement business in the life insurance industry. In response to these concerns, we initiated a review to determine whether insurance churn exists in the New Zealand market and, if it does, whether it harms consumers. Download the full report on this page.
    Tags
    Reports and Papers, Authorised body under a FAP, Financial Advice Provider, Financial Adviser, Roles, Insurance Providers, Financial Institutions, Business, News & Insights
    Type
    Page

  14. 29 June 2016

    Replacing life insurance - who benefits?

    This 2016 report from the FMA raises concerns about the extent of replacement business in the life insurance industry.
    Tags
    Roles, Financial Institutions, Business
    Type
    PDF, Report