Tag: Financial Markets Authority

fma warning
February 21, 2017 BY Valentina Kirilova

New Zealand's Financial Markets Authority published its first Conduct Outcomes Report

New Zealand's Financial Markets Authority (FMA) published its first Conduct Outcomes Report 2016. It highlights the key issues and actions from the FMA’s enforcement, supervision and preventative activities for the financial year July 2015 to June 2016. Previously published as the Investigations and Enforcement Report, this report shows how the FMA has made use of…

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fma warning
February 15, 2017 BY Valentina Kirilova

New Zealand's FMA updates strategic risk outlook and sets course for new era in conduct regulation

The Financial Markets Authority just published its updated Strategic Risk Outlook (SRO). This is a foundation FMA document and sets out how the regulator identifies and prioritises the key risks to its overall objective of fair, efficient and transparent markets. In 2014, the FMA established seven strategic priorities to address the main risks and potential…

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July 15, 2016 BY Valentina Kirilova

New Zealand’s Financial Markets Authority Discontinues Proceedings Against Archer and HIL

The Financial Markets Authority (FMA) has elected to discontinue the proceeding against equity firm Archer Capital (Pty) Limited (Archer) and Healthcare Industry Limited (HIL). The defendants, Archer and HIL, have accepted that the FMA was justified in investigating the conduct that is the subject of this claim. The FMA has concerns about market practice in…

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May 20, 2016 BY Mike Fox

New Zealand FMA orders Forex trading educator to change its "deceptive" marketing materials

The Financial Markets Authority (FMA) of New Zealand today has ordered a foreign exchange educator to change its marketing materials on the basis that they were misleading or deceptive, and it had made unsubstantiated statements about its services. Cambrian Corporation Limited (Cambrian) offers training and advice services relating to intra-day foreign exchange trading.  In the…

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November 05, 2015 BY Mike Fox

FMA confirms Paul Gregory in the role of director of external communications and investor resources

New Zealand's Financial Markets Authority (FMA) today confirmed the appointment of Paul Gregory in the role of director of external communications and investor resources. Mr. Gregory will be joining the FMA’s executive committee from the NZ Super Fund where he has been since March 2009, firstly as head of communications before shifting to the investments…

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