Monday, July 22, 2019

Tag: FMA

Latest Poll – Cyber Risk

Our latest poll asks how confident you feel that your financial advice firm can detect and protect against cyber threats. The FMA has released a...

FMA Report Shines Light on Cyber-Resilience in Financial Services Firms

The Financial Markets Authority has released a report covering its findings of a thematic review of cyber-resilience in New Zealand financial services. The purpose of...

Poll Results – Adapting to Change

Our latest poll sought to gauge how you as advisers are tracking with the sweep of regulatory change taking place across financial services and...

Life Insurers Report Back to FMA on Review Findings

Life insurers have submitted their responses to the Financial Markets Authority and Reserve Bank as their 30 June deadline is now over, following the...

Latest Poll – Taking Stock

With another consultation paper recently released to the industry in the form of the FMA’s two proposed standards for transitional licensing (see: FMA Consults...),...

FMA Consults on Two Standard Conditions for Transitional Licensing

The FMA is consulting on two standard conditions it may potentially impose for transitional licences, as part of the new financial advice regime. The new...

News in Brief

Financial Advice NZ Reveals 10 Business Partners  Financial Advice New Zealand has announced the names of its ten new Business Partners for its partnership programme...

Company Fined in First FMA Case of Company Abuse of the FSPR

Morgan DeVere Corporate Finance has been fined $40,000 following its conviction at the Wellington District Court on two charges of breaching the Financial Services...

Dunedin AFA Investigated By SFO

The Serious Fraud Office, assisted by the Financial Markets Authority, executed search warrants on the 23 May in relation to an investigation of Dunedin-based...

FMA Cracks Down on FSPR Abuse 

Morgan DeVere Corporate Finance has been convicted at the Wellington District Court on two counts of breaching the Financial Services Providers Act 2008 (FSP...