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The High Court has ordered Peter Harris, the former CBL Corporation Limited (In Liquidation) (CBLC) managing director, to pay a penalty of $1.4 million for continuous disclosure and misleading conduct breaches following proceedings brought by the FMA under the Financial Markets Conduct Act 2013 (FMCA) (the Continuous Disclosure Proceeding).
Financial Markets Conduct Tonga Development Bank designation revocation notice
Calss legislative notices summary July 2024
Exemption Notice 2024 - Financial Markets Conduct Obsidian Contributory Mortgage Scheme
Oceania Naturals judgment - FMA v Zhong Ors
The Financial Markets Conduct (Mercer Super Trust) Exemption Notice 2024 relates to initial and ongoing registration requirements for workplace savings schemes.
Feedback form Renewal of class exemptions for overseas custodians
Board Expenses Disclosure FY23 24 Craig S All Other Expenses
Board Expenses Disclosure FY23 24 Craig S Summary
Board Expenses Disclosure FY23 24 Craig S Gifts and Benefits
Board Expenses Disclosure FY23 24 Craig S Hospitality
Board Expenses Disclosure FY23 24 Craig S Travel
FMA warns individual for likely market manipulation under section 265 of the FMC Act after suspicious share trading in November 2021 via Sharesies.
CE Expenses Disclosure Sam B FY23 24 Gifts and Benefits
CE Expenses Disclosure Sam B FY23 24 All Other Expenses