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  1. 8 May 2019

    Compliance

    The FMA takes a risk-based approach to our monitoring and surveillance activities, meaning we prioritise resources to those participants or practices that present the greatest risk to fair, efficient and transparent financial markets. Our compliance strategy emphasises a 'top of the cliff' approach and focuses on lifting the standards of the businesses and professionals we regulate. Read more about our compliance, monitoring and enforcement approach on this page.

    http://fma.cwp.govt.nz/compliance/

    6 June 2014

    Statement of clarification on Abano Healthcare Group Ltd (NZX:ABA)

    Media release
    MR no. 2014 - 018
    6 June 2014

    The Financial Markets Authority (FMA) today clarified statements that have apparently been made in communications with shareholders in Abano Healthcare Group Ltd (NZX:ABA).

    The FMA has received correspondence, to ABA shareholders, dated 3 June 2014, from Steamboat Capital and Healthcare Industry.

    The correspondence cites the FMA in a way which could suggest to shareholders that the FMA has taken formal action, or may yet take action, against ABA r…

    http://fma.cwp.govt.nz/news-and-resources/media-releases/statement-of-clarification-on-abano-healthcare-group-ltd-nzxaba/

    28 February 2013

    FMA signals its compliance focus for 2013

    Media Release
    28 February 2013

    The Financial Markets Authority (FMA) today released its compliance focus for 2013 which outlines FMA's priority areas for monitoring and surveillance over the next year.

    The document details four major themes which will influence priorities: building customer trust; raising standards in existing regimes; embedding new regimes; and KiwiSaver.

    FMA CEO Sean Hughes said "Signalling our focus for 2013 makes sense. It provides an opportunity for participant…

    http://fma.cwp.govt.nz/news-and-resources/media-releases/fma-signals-its-compliance-focus-for-2013/

    29 February 2012

    FMA warns of illegal offer by Makko Securities to advise on Facebook IPO

    Media Release
    29 February 2012

    The Financial Markets Authority is warning the public of an illegal offer by Makko Securities and its Senior Account Manager, Roy Lochen, to provide broking services in relation to the proposed Initial Public Offering of Facebook and other securities.

    Makko Securities is not registered to provide financial services in New Zealand and therefore cannot legally offer financial advice or broking services to retail investors in New Zealand.

    FMA notes that no shares i…

    http://fma.cwp.govt.nz/news-and-resources/media-releases/fma-warns-of-illegal-offer-by-makko-securities-to-advise-on-facebook-ipo/

    25 August 2011

    FMA begins adviser monitoring visits

    Media Release
    25 August 2011

    FMA will next week begin making visits to Authorised Financial Advisers (AFAs) as it steps up its monitoring activities under the Financial Advisers Act.

    FMA Head of Primary Regulatory Operations, Sue Brown said monitoring was an important part of the new professional era, enabling FMA to check that standards are being met.

    "We expect that in most cases we will simply be helping advisers refine what are already sound practices. Where we see potential for im…

    http://fma.cwp.govt.nz/news-and-resources/media-releases/fma-begins-adviser-monitoring-visits/

    16 November 2010

    Commission's Review Highlights Continuing Need for Greater Transparency

    (Media releases from the Securities Commission)
    16 November 2010

    The Securities Commission's latest review of financial reporting standards continues to highlight the need for a greater focus on transparency.

    "Ensuring stakeholders and investors are fully informed about all areas of their investment is vital, and issuers must ensure they provide clear, concise and transparent financial statements which are easily understood," says Securities Commission Chairman Jane Diplock.

    Th…

    http://fma.cwp.govt.nz/news-and-resources/media-releases/commissions-review-highlights-continuing-need-for-greater-transparency/

  2. 19 September 2019

    Your ongoing obligations

    Issuers offering under the FMC Act regime have a number of obligations, depending on what kind of business they are (e.g. a trust or a company), and whether their securities are listed on a registered exchange.

    Offers disclosure requirementsInformation about ‘regulated offers’ must be disclosed in a product disclosure statement (PDS) and on the Disclose Register. Together, this information must include all material information about the offer of a financial product and be up-to-date, accurate a…

    http://fma.cwp.govt.nz/compliance/role/equity-or-debt-issuers/your-ongoing-obligations/