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ARTICLE · 23 FEBRUARY 2018

FMA reports on 2017 Conduct Outcomes and looks forward

Chapman Tripp
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This Report explains how the FMA responded to 2017 cases of misconduct, and identifies emerging themes and 2018 focus.

New ZealandFinance and Banking
Penny Sheerin
Penny Sheerin
Tim Williams
Tim Williams
Bradley Kidd
Bradley Kidd
Mike Woodbury
Mike Woodbury
Emma Harding
Emma Harding
Phoebe Gibbons
Phoebe Gibbons
Brendon Orr (Formerly With Chapman Tripp)
Brendon Orr (Formerly With Chapman Tripp)
Asha Trotter
Asha Trotter
Author LinkedIn connections

The Financial Markets Authority (FMA) has released its annual Conduct Outcomes Report (the Report) for 2017. The Report explains how the FMA responded to cases of misconduct in 2017, identifies emerging themes and sets out where the FMA will focus its energies during 2018.

Focus for 2018

FMA's focus for 2018 will be:

  • strengthening and building on intelligence gathering
  • issues on the regulatory perimeter
  • non-compliance with licence conditions
  • improving knowledge about market conduct, and
  • continuing to communicate and engage with those it regulates.

FMA intends to continue to use the full range of enforcement tools available to it to address misconduct faster and more efficiently.

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