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  1. 10 June 2021


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    8 September 2014

    FMA talking investment risk for Money Week

    Media releaseMR No. 2014 – 0288 September 2014
    The Financial Markets Authority (FMA) today announced its plans for this year's Money Week from October 13-19 2014. The FMA will be hosting a panel discussion to promote greater understanding of investment risk.
    The theme for this year's Money Week is getting your money fighting fit and the FMA will be hosting a 'Heavy Weight Debate' at St Matthew's Church, Auckland, Thursday 16 October 2014, 5:30 -7pm.
    The panel discussion…


    29 May 2014

    FMA issues formal warning to St Laurence directors - investigation closed

    News release MR no. 2014 - 016 29 May 2014
    The Financial Markets Authority (FMA) has closed its investigation into St Laurence Limited (in liquidation) and has formally warned eight directors of St Laurence Limited in respect of potential breaches of the Securities Act.
    Based on the evidence it has seen, FMA considers that St Laurence’s September 2007 prospectus failed to properly disclose information about loan quality and liquidity for the period March – June 2008. The directors have been advi…


    5 December 2013

    FMA releases audit quality report

    News release5 December 2013
    The Financial Markets Authority (FMA) says its first audit quality review shows there is work to be done to meet the required standards. The Audit Quality Review Report assessed the internal quality control systems and individual audit files of nine audit firms, under the Auditor Regulation Act, which came into force on 1 July 2012. The key areas of focus for firms that need to improve are:

    auditor independence and ethical issues
    auditor quality monitoring
    audit docu…


    11 July 2013

    FMA CEO Announcement

    Media Release11 July 2013
    The Financial Markets Authority (FMA) today announced that CEO Sean Hughes will not seek re-appointment for a second term as Chief Executive. He will continue in his role until the end of the year.FMA Chairman Simon Allen said Mr Hughes had done an outstanding job leading FMA, from its establishment three years ago, to building credibility and confidence in the new regulator and financial markets.“While the Board is naturally disappointed that Sean will not be continuin…


    10 August 2011

    FMA makes three further leadership team appointments; announces Auckland location

    Media Release10 August 2011
    The Financial Markets Authority has made three further appointments to its strategic leadership team under Chief Executive Sean Hughes, and announced its new Auckland office premises. FMA has taken a seven-year lease of level 5, East Building, 52-70 Galway Street, Britomart, which has capacity for more than 50 staff. "We are very pleased to have secured such a well-appointed and central CBD office location which has the capacity to accommodate FMA's growing…


    21 April 2011

    Disciplinary Committee Ready to Conduct Financial Adviser Disciplinary Proceedings

    (Media releases from the Securities Commission)21 April 2011
    Departing Commissioner for Financial Advisers, David Mayhew, has completed his final statutory role as Chair of the Financial Advisers Disciplinary Committee chairing its first meeting, where the committee approved its rules and procedures for operation.
    The Committee was appointed by the Minister of Commerce to conduct disciplinary proceedings arising from complaints about alleged breaches of the Code of Professional Conduct by Author…


    9 September 2010

    Commission Consults on Standard Conditions for Advisers

    (Media releases from the Securities Commission)9 September 2010

    The Securities Commission invites submissions on proposed standard conditions for Authorised Financial Advisers (http://www.seccom.govt.nz/publications/documents/afa-conditions-consult/) (AFAs).
    The Financial Adviser's Act allows the Securities Commission to authorise financial advisers for a specific range of services for a specified period. All AFAs will be subject to terms and conditions issued by the Securities Commission.…


    28 September 2013

    Securities Act (Real Property Developments)

    Securities Act (Real Property Developments) Exemption Amendment Notice (No 2) 2013
    Real Property Developments Exemption Notice Update
    The Financial Markets Authority (FMA) has extended the Securities Act (Real Property Developments) Exemption Notice 2007 (Notice) to the close of 30 November 2016.
    The Notice applies to participatory securities offered in the form of membership of an incorporated society, or a shareholding in a company, that owns, leases, licenses, maintains, administers, or opera…


    3 April 2013

    Securities Act (BT Investment Management (RE) Limited and BT Investment Management (Fund Services) Limited)

    Securities Act (BT Investment Management (RE) Limited and BT Investment Management (Fund Services) Limited) Exemption Notice 2013

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