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  1. 30 August 2014

    Creation of new unit trusts during transition period information sheet 2014

    This information sheet responds to queries by market participants about the ability to create new unit trust schemes under the Unit Trusts Act 1960 between 1 December 2014 and 30 November 2015. FMA’s opinion is that persons creating unit trusts between 1 December 2014 and 1 December 2015 can choose between regimes.
    Tags
    Managed investment schemes, Roles, Business
    Type
    PDF

  2. 30 August 2014

    Guidance - One off Issuers

    This information sheet clarifies when one-off or occasional issuers must register on the Financial Service Providers Register (FSPR) under the Financial Service Providers (Registration and Dispute Resolution) Act 2008 (in addition to any disclosure obligations that they may have under the Financial Markets Conduct Act 2013).
    Tags
    FSPR, Business
    Type
    PDF, Information Sheet

  3. 28 August 2014

    Consultation Paper: SIPOs and Limit Breaks

    In August/September 2014, the FMA consulted on SIPOs and Limit Breaks. 21 submissions were received. A summary of the submission feedback can be downloaded here.
    Tags
    Consultations, Roles, Business, Managed investment schemes
    Type
    Page

  4. 28 August 2014

    Consultation Paper: SIPOs and Limit Breaks

    In August/September 2014, the FMA consulted on SIPOs and Limit Breaks. 21 submissions were received. A summary of the submission feedback can be downloaded here.
    Tags
    Consultations, Roles, Business, Managed investment schemes
    Type
    Page

  5. 20 August 2014

    FMA files civil proceedings against trustee

    The FMA has filed civil proceedings against Prince and Partners Trustee Company Limited, using the powers of section 34 of the Financial Markets Authority Act. Prince was the trustee for finance company Viaduct Capital Limited. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  6. 14 August 2014

    Money Week Survey Report 2014

    2014 research report about New Zealanders' attitudes to investment.
    Tags
    Consumer
    Type
    PDF, Research

  7. 12 August 2014

    Strategic Finance settlement proceeds to first distribution

    In June this year PwC Partners John Fisk and Colin McCloy, as Receivers of Strategic, together with the Financial Markets Authority, announced they had finalised a $22 million settlement agreement with the former directors and auditors of Strategic.
    Tags
    Media release, News & Insights
    Type
    Page

  8. 7 August 2014

    Brian Henry admits market manipulation

    Brian Peter Henry has admitted all of the FMA's allegations that he breached the market manipulation prohibitions in the Securities Markets Act 1988. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  10. 7 August 2014

    Brian Peter Henry

    At the Auckland High Court, Mr Henry admitted FMA allegations that he breached the market manipulation prohibitions in the Securities Markets Act 1988, and a pecuniary penalty of $130,000 was imposed by the Court.
    Tags
    Cases, Market manipulation, Enforcement
    Type
    Page

  11. 1 August 2014

    Galleass Capital NZ Limited

    Persons offering financial services in NZ without appropriate registration or authorisation from FMA and false/misleading advertising
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  12. 1 August 2014

    Fair dealing provisions transitional arrangements for advertising information sheet

    The fair dealing provisions relating to “financial products” and “financial services” make it an offence to engage in misleading or deceptive conduct in relation to financial products or to make false, misleading or unsubstantiated representations about financial products.
    Tags
    Fair dealing, Derivative Issuer, Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF, Information Sheet

  13. 1 August 2014

    Creation of new unit trusts during transition period

    Creation of new unit trusts during transition period information sheet responds to queries by market participants about the ability to create new unit trust schemes under the Unit Trusts Act 1960 between 1 December 2014 and 30 November 2015.
    Tags
    FMC Act, Legislation, Business
    Type
    Page, Guidance

  14. 1 August 2014

    When one-off or occasional issuers are required to register

    When one-off or occasional issuers are required to register information sheet clarifies when one-off or occasional issuers must register on the Financial Service Providers Register (FSPR) under the Financial Service Providers (Registration and Dispute Resolution) Act 2008 (in addition to any disclosure obligations that they may have under the Financial Markets Conduct Act 2013).
    Tags
    Offer information, Offer disclosure for equity and debt offers, Roles, Business
    Type
    Page, Guidance

  15. 1 August 2014

    Fair dealing provisions: Transitional arrangements for advertising information sheet

    Fair dealing provisions: Transitional arrangements for advertising information sheet is for Issuers and third parties who advertise in order to promote offers during the period 1 April 2014 to 30 November 2016 (‘transition period’) need to be aware of new FMC Act fair dealing provisions and how they apply.
    Tags
    Fair dealing, Roles, Offer disclosure for equity and debt offers, Crowdfunding providers, Business
    Type
    Page, Guidance