Search

Found 3261 results. Displaying page 1 of 164

1. 4 October 2018

   Shares

   Shares are riskier than other types of investments such as bonds and cash investments. Before diving into the share market, learn more about the ins and outs of trading and stock investment.

   https://fma.cwp.govt.nz/investors/ways-to-invest/shares/

2. 2 July 2019

   Derivatives issuers

   Under the FMC Act you must be licensed to make a regulated offer of derivatives. Find out who a derivatives issuer is and read more about licensing, obligations and other information.

   https://fma.cwp.govt.nz/compliance/role/derivatives-issuers/

3. 3 December 2014

   FMA reaches settlement with ANZ over rural interest rate swaps

   The Financial Markets Authority said it has reached a settlement with ANZ Bank New Zealand Limited regarding the sale, promotion and marketing of rural interest rate swaps to rural customers. Read more.

   https://fma.cwp.govt.nz/news-and-resources/media-releases/fma-reaches-settlement-with-anz-over-rural-interest-rate-swaps/

4. 5 December 2013

   FMA releases stakeholder feedback report

   News release5 December 2013 The Financial Markets Authority (FMA) today released the findings of the 2013 FMA stakeholder feedback report. The report looked at FMA’s progress since its establishment on 1 May 2011 and surveyed stakeholder views on the following topics: key achievements and shortcomings of FMA’s work to date gaps in FMA’s activities or mandate organisational capabilities of FMA prioritisation of key shortcomings and gaps to be addre...

   https://fma.cwp.govt.nz/news-and-resources/media-releases/fma-releases-stakeholder-feedback-report/

5. 12 July 2013

   FMA strategic leadership team appointments

   Media Release12 July 2013 The Financial Markets Authority (FMA) today announced the appointment of Sue Brown to the new position of Head of Strategy, Innovation and Engagement.From Monday 15 July, Ms Brown will step aside from her current duties as Head of Primary Regulatory Operations to lead FMA’s change management programme over the next nine months.FMA CEO Sean Hughes said the appointment reflected the need for FMA to prepare itself for upcoming le...

   https://fma.cwp.govt.nz/news-and-resources/media-releases/fma-strategic-leadership-team-appointments/

6. 31 August 2012

   FMA proposes overhaul of rules around property proportionate ownership schemes

   Media Release31 August 2012 The Financial Markets Authority has today announced its proposal to overhaul the class exemption notice for Real Property Proportionate Ownership Schemes. The current Securities Act exemption notice expires on 30 September and FMA does not propose to grant further similar exemptions. Instead, all issuers will be required to register a prospectus and investment statement, and appoint a statutory supervisor. FMA intends to issue...

   https://fma.cwp.govt.nz/news-and-resources/media-releases/fma-proposes-overhaul-of-rules-around-property-proportionate-ownership-schemes/

7. 5 April 2012

   FMA publishes revised draft guidance on effective disclosure

   Media Release5 April 2012 The Financial Markets Authority today published their revised draft guidance note for issuers, directors and advisers on preparation of effective disclosure documents. Following publication of the first draft guidance in late January, FMA has engaged with industry and consumer groups and received more than 60 submissions. As a result of that feedback, the second draft guidance note is markedly different to the first. FMA is now...

   https://fma.cwp.govt.nz/news-and-resources/media-releases/fma-publishes-revised-draft-guidance-on-effective-disclosure/

8. 20 June 2011

   Statement on Hubbard Investigation

   Media Release20 June 2011 The Financial Markets Authority (FMA) and the Serious Fraud Office (SFO) have worked together closely throughout this investigation. The evidence on which the charges laid by the SFO today are based could also give rise to charges by FMA under section 59 of the Securities Act. However after careful consideration, both organisations are satisfied that the charges laid by the SFO will address this matter in a way that is proportio...

   https://fma.cwp.govt.nz/news-and-resources/media-releases/statement-on-hubbard-investigation/

9. 4 March 2011

   Nathans' Director Pleads Guilty to Securities Commission Charges

   John Hotchin, a former director of Nathans Finance NZ Limited (in receivership) ('Nathans') has pleaded guilty to three charges laid by the Securities Commission under section 58 of the Securities Act 1978. Read more.

   https://fma.cwp.govt.nz/news-and-resources/media-releases/nathans-director-pleads-guilty-to-securities-commission-charges/

10. 5 April 2019

    Releases from the Minister

    Read the latest press releases from Hon Kris Faafoi – the Minister of Commerce and Consumer Affairs.

    https://fma.cwp.govt.nz/news-and-resources/releases-from-the-minister-of-commerce/

11. 25 September 2012

    Financial Markets Authority AFA Update: Issue # 8

    AFA Questionnaire - final day to respond is Friday 28 September 2012 We've emailed all AFAs a questionnaire seeking input on how financial adviser regulation has impacted your business. We've been really encouraged by the high level of interest and to date we've had over 700 responses. Thank you for this input. Remember if you haven't yet responded the deadline is Friday 28 September 2012. Please take this opportunity to have your say. Complaints - offering 'AFA' services We often receive com...

    https://fma.cwp.govt.nz/news-and-resources/fma-update/afa-update-archive/financial-markets-authority-afa-update-issue-8/

12. • Closed - with decision

    14 April 2015

    Consultation Paper: Derivatives Issuer Standard Condition on Suitability

    We have reviewed the feedback and updated the standard conditions. The new standard condition (no.12) comes into effect on 1 December 2015.

    https://fma.cwp.govt.nz/compliance/consultation/consultation-paper-derivatives-issuer-standard-condition-on-suitability/

13. • Closed - with decision

    26 January 2012

    Consultation: Request for feedback – Guidance Note: Effective Disclosure

    We are consulting on proposed guidance on how to prepare and present prospectuses and investment statements. The draft guidance note is included in the consultation paper (Attachment A) which can be downloaded here.

    https://fma.cwp.govt.nz/compliance/consultation/consultation-request-for-feedback-guidance-note-effective-disclosure/

14. 10 May 2016

    Management bans and undertakings of non-participation

    Listed below are individuals who are precluded from engaging in certain activities in respect of the governance and/or management of companies as a consequence of action taken by the FMA. Share this Share on Facebook Tweet this Email this Back to top...

    https://fma.cwp.govt.nz/news-and-resources/management-bans-and-undertakings-of-non-participation/

15. • FMA warning notices and alerts
    • Formal warning

    23 January 2015

    Notification of Warning: individual trader – market manipulation

    The Financial Markets Authority has issued a warning to an individual in relation to suspected market manipulation. Following an investigation by the FMA, it concluded that trading by the individual in question has likely breached the Securities Markets Act 1988. Read more.

    https://fma.cwp.govt.nz/news-and-resources/warnings-and-alerts/notification-of-warning-individual-trader-market-manipulation/

16. • Closed - with decision

    1 December 2014

    Consultation Paper: Fund update template and guidance for calculating risk indicators

    Consultation Paper: Fund update template and guidance for calculating risk indicators. This consultation paper is for market participants that manage funds and for their supervisors and investors. Read more here.

    https://fma.cwp.govt.nz/compliance/consultation/consultation-paper-fund-update-template-and-guidance-for-calculating-risk-indicators/

17. • Issuers and offerers
    • Research papers
    • Surveys

    30 April 2014

    Investor experience of IPOs survey

    These results measure attitudes towards and investment in New Zealand’s financial market.

    https://fma.cwp.govt.nz/news-and-resources/reports-and-papers/investor-experience-of-ipos-survey/

18. 19 September 2019

    Crowdfunding platforms

    Crowdfunding is a type of financial market service covered by the FMC Act. Find out more about becoming a crowdfunding service provider including details in licensing, obligations, fair dealing, financial reporting, exemptions etc..

    https://fma.cwp.govt.nz/compliance/role/crowdfunding-platforms/

19. • Investigations
    • Enforceable action
    • FMA Act

    13 December 2011

    Kiwi Finance Limited - Enforceable undertaking

    This undertaking by Kiwi Finance directors(Rhys Anthony Greensill, Rodney Seymour Roberts Greensill, Barry Noel Lambert and Christopher Bruce Simkin) was accepted by FMA to conclude its civil claim investigations after Kiwi Finance went into receivership in April 2008. It resulted in full restitution of investors' funds, together with an enforceable undertaking from the Directors. Read more.

    https://fma.cwp.govt.nz/news-and-resources/cases/kiwi-finance/

20. • AML/CFT

    1 August 2013

    AML/CFT wire transfers fact sheet

    The fact sheet should be read in conjunction with the beneficial ownership guideline.

    130801 AML/CFT wire transfers fact sheet

    https://fma.cwp.govt.nz/compliance/guidance-library/amlcft-wire-transfers-fact-sheet/