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Financial Regulation Update – May 2017 (3 May 2017) (New Zealand)

Russell McVeagh

In this issue:

  • Guilty plea in FMA insider trading case; FMA drops obstruction charges
  • FMA warns 12 entities for breaches of Anti-Money Laundering and Countering Financing of Terrorism Act 2009
  • FMA files charges for unregistered provision of financial service
  • Individual sentenced to two years' imprisonment for mobile trading offending
  • Rapid Loans to refund $1.4 million in unreasonable fees
  • FMA reports indicate its future focuses
  • FMA guidance on "good conduct" of licensed financial services providers

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