Cabinet has agreed to a number of recommendations regarding further exemptions to the FAA and the FSPA. These are likely to lead to a further supplementary order paper to the Financial Service Providers (Pre-Implementation Adjustments) Bill.

The majority of firms are still falling short in some aspects of their performance.

The Financial Markets Authority has refreshed its foundation Strategic Risk Outlook (SRO), published in 2015.

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

The Ministry (MBIE) has released an exposure draft and commentary for Part 3 FMCA disclosure of the core product types.

This is Part 9 of a detailed submission by Chapman Tripp in relation to the draft Financial Markets Conduct Bill.

Bernard Whimp has provided the Financial Markets Authority (FMA) with an easy first scalp in Financial Markets Authority v Carrington Securities LP1 and in the exercise of its new powers to deal with predatory low ball offers.

This NZX Corporate Governance Code closely aligns with the Financial Markets Authority corporate governance handbook.

The licence details for Discretionary Investment Management Services, established by the FMC Bill, are becoming clearer,.

The guidance note is helpful but is only a stop gap measure pending the enactment of the Financial Markets Conduct Bill.

An overview of the proposals affecting listed issuers and prospective issuers concerning the draft Financial Markets Conduct Bill.

The FMA is receiving applications for market services licences under the FMCA and issued how-to guides for applicants.

Article focuses on the implications of the Australian Royal Commission for small and medium sized enterprises.

In late September 2008 the New Zealand Government passed the Financial Advisers Act 2008 and the Financial Service Providers (Registration and Dispute Resolution) Act 2008. What do these two Acts mean for general insurance brokers in New Zealand?

This article looks at the quality of the Australian regulatory regime and the accountability of ASIC and APRA regulators.

Have you ever applied for credit, whether that credit is in the form of a loan, a credit card or even a hire purchase agreement? Or are you in the business of providing credit? If so, the new Credit Reporting Privacy Code will affect you.

The first appeal against deregistration by a financial services provider (FSP) has succeeded.

New exemptions in NZ permit digitalised financial advice to retail clients under certain conditions.

The strength of the protection that the Personal Property Securities Act 1999 (PPSA) offers the recipients of monies paid by an insolvent debtor was tested recently in Stiassny and Ors v Commissioner of Inland Revenue – and failed to support the IRD’s right to retain funds paid to it.

The Insurance (Prudential Supervision) Bill has been reported back to New Zealand Parliament from the Finance and Expenditure Committee with a number of recommended changes. . . We set out below a summary of the more important changes