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Page last updated: 11 August 2023

Enforcement Activity

In the event of a breach of financial markets legislation, we may intervene on an informal basis or at a low level where such action is proportionate to the misconduct and will achieve an appropriate market outcome. However, where appropriate, we will take strong action and hold individuals and entities accountable when they break the law and fail to meet the standards that are expected of them. If harm has been identified, we may also take regulatory action of some sort even though no ‘rules’ appear to have been broken.

Our enforcement activity can be viewed on this page.

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Found 79 results. Displaying page 5 of 6

  4. 30 September 2018

    ERoad - Hamish Sansom and Jeffrey Peter Honey

    The FMA alleges that an Eroad employee sent text messages to a former Eroad employee that contained confidential material information relating to Eroad’s performance in the period to 30 September 2015.

  5. 6 July 2018

    Garry James Patterson

    The FMA has filed charges against Garry James Patterson alleging he was or was holding out as being, in the business of providing financial services in contravention of the Financial Service Providers (Registration and Dispute Resolution) Act 2008 (FSP Act).

  6. 3 July 2018

    Arena Capital/Blackfort

    Mr Ryan, also known as Lance Jared Thompson, used the forex platform BlackfortFX as a façade to encourage more than 900 investors, who were mostly from the Christchurch region, to put about $8.3 million in the Ponzi scheme.

  7. 12 December 2017

    Hanover Finance, Hanover Capital & United Finance

    FMA has applied for compensation, declarations of civil liability, civil pecuniary penalties against each of the five directors and promoters - Mark Hotchin, Gregory Muir, Sir Tipene O'Regan, Bruce Gordon, Eric Watson and Dennis Broit.

  8. 24 November 2017

    Fullerton Markets

    The FMA has issued a formal AML/CFT warning to Fullerton Markets. Read more.

  9. 28 August 2017

    Prince and Partners

    We believed Prince and Partners failed to carry out its role as a supervisor with the care, diligence and skill expected.

  10. 31 July 2017

    Mark Warminger

    The FMA has issued civil proceedings seeking pecuniary penalties against Mr Warminger for trading carried out between January and August 2014.

  11. 13 July 2017

    Anthony Norman Wilson

    Wilson admitted three charges of making a false document for pecuniary advantage and one charge of dishonestly using a document for pecuniary advantage.

  12. 8 June 2017

    Vivier and Company Limited (Vivier)

    FMA considered Vivier’s New Zealand FSP registration to be misleading as all its services were mostly in Europe and directed that Vivier be deregistered as an FSP.