Media releases – 2018

Found 764 results. Displaying page 49 of 51

1. 6 May 2011

   FMA Orders Whimp to Disclose Warning

   The FMA has ordered Mr Bernard Whimp and associated persons to include a warning from FMA at the beginning of any unsolicited offer they may make. Read more.
2. 5 May 2011

   Warning: Think Before Signing Away 'Mum and Dad' Investor Rights

   The Financial Markets Authority is warning investors against being classified as wholesale investors and losing retail 'mum and dad' investor rights and protections.
3. 2 May 2011

   FMA Issues Whimp Warning

   The Financial Markets Authority (FMA) has today issued a warning about unsolicited offers that may be made by Mr Bernard Whimp and entities associated with him.
4. 1 May 2011

   Financial Markets Authority Aims to Restore Investor Confidence

   Restoring investor confidence in New Zealand's financial markets is the major goal of the new Financial Markets Authority which was formally established today.
5. 21 April 2011

   Disciplinary Committee Ready to Conduct Financial Adviser Disciplinary Proceedings

   Departing Commissioner for Financial Advisers, David Mayhew, has completed his final statutory role as Chair of the Financial Advisers Disciplinary Committee chairing its first meeting, where the committee approved its rules and procedures for operation.
6. 31 March 2011

   D-day for Financial Advisers

   From 1 April, all financial advisers, or the companies they work for, have to be registered on the online Financial Service Providers Register, www.fspr.govt.nz. Advisers who should be on the register, but aren't risk hefty penalties.
7. 29 March 2011

   Commission Releases Risk Assessment for Sector

   The Securities Commission today released a risk assessment to help those it is responsible for supervising prepare to meet upcoming requirements of the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009.
8. 24 March 2011

   Whimp Partnerships Injuncted at Securities Commission's Request

   The High Court, on application from the Securities Commission, has granted interim injunctions to stop shares being transferred to limited partnerships associated with Mr Bernard Whimp. Read more.
9. 18 March 2011

   Securities Commission Orders Whimp Partnerships to Correct 'Low Ball' Offers

   The Securities Commission has made orders against limited partnerships associated with Mr Bernard Whimp. The orders follow misleading offers made by the limited partnerships to buy shares in a number of listed companies. Read more.
10. 14 March 2011

    First QFEs Granted

    The first Qualifying Financial Entities (QFEs) licences have been granted signalling the next step in the implementation of the new financial advisers regulatory regime.
11. 4 March 2011

    Nathans' Director Pleads Guilty to Securities Commission Charges

    John Hotchin, a former director of Nathans Finance NZ Limited (in receivership) ('Nathans') has pleaded guilty to three charges laid by the Securities Commission under section 58 of the Securities Act 1978. Read more.
12. 23 February 2011

    Securities Commission and Nuplex Reach Settlement

    The Securities Commission and Nuplex Industries Limited have reached a full and final settlement of the matters raised in the Commission's proceedings. Read more.
13. 1 February 2011

    Commission Takes Action Against Insured Group

    The Securities Commission has commenced civil proceedings against Insured Group Limited, formerly known as Lombard Group Limited, in relation to alleged breaches in 2007 and 2008 of the continuous disclosure provisions of the Securities Markets Act 1988. Read more.
14. 22 December 2010

    New Conditions for Qualifying Financial Entities

    The Securities Commission has published the standard conditions Qualifying Financial Entities (QFEs) will need to abide by when their employees and representatives give financial advice.
15. 21 December 2010

    Review Highlights Need for Better Valuation Disclosure (Dec-2010)

    Securities issuers need to include more information on how their financial assets and liabilities have been valued, says Securities Commission Chairman Jane Diplock.