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Media releases – 43

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25 May 2012

FMA releases KiwiSaver performance fees guidance note

The Financial Markets Authority (FMA) has today released a final version of its guidance note on KiwiSaver performance fees.
25 May 2012

FMA welcomes Belgrave Finance guilty plea

Shane Joseph Buckley, a director of failed finance company Belgrave Finance Limited (In receivership and In liquidation), pleaded guilty to 25 charges under the Securities Act, Crimes Act, and the Companies Act. Read more.
22 May 2012

FMA consultation on disclosure of non-GAAP financial information

The Financial Markets Authority has today published draft guidance for public consultation on the disclosure of non-GAAP financial information.
26 April 2012

FMA welcomes Petricevic sentencing

Mr Petricevic sentenced to six and a half years imprisonment. Read more.
24 April 2012

Court supports FMA adviser decision

The Wellington District Court has dismissed an appeal by Sean Wood against a Financial Markets Authority decision to decline his application for authorisation as an Authorised Financial Adviser (AFA). Read more.
20 April 2012

FMA welcomes ruling on Hotchin asset preservation orders

The CoA has dismissed an appeal by former Hanover director Mark Hotchin on asset preservation orders obtained by the FMA. Read more.
12 April 2012

FMA calls for submissions on exemption reviews

The Financial Markets Authority is seeking submissions from market participants, investors, representatives and advisers on review of 44 class exemption notices due to expire later this year.
5 April 2012

FMA publishes revised draft guidance on effective disclosure

The Financial Markets Authority has published their revised draft guidance note for issuers, directors and advisers on preparation of effective disclosure documents.
5 April 2012

FMA welcomes Bridgecorp verdicts

Justice Venning found Rodney Petricevic and Robert Roest guilty on charges of breaching the Crimes Act 1961, the Companies Act 1993, and the Securities Act 1978 and found Peter Steigrad guilty on charges of breaching the Securities Act 1978. Read more.
14 March 2012

FMA to issue revised draft guidance note on effective disclosure in offer documents

The Financial Markets Authority is topublish a revised draft of its guidance note by 2 April 2012 and invites further submissions from the market.
29 February 2012

FMA warns of illegal offer by Makko Securities to advise on Facebook IPO

The Financial Markets Authority is warning the public of an illegal offer by Makko Securities and its Senior Account Manager, Roy Lochen, to provide broking services in relation to the proposed Initial Public Offering of Facebook and other securities.
26 January 2012

FMA to issue guidance on effective disclosure in offer documents

The Financial Markets Authority has published draft guidance for securities issuers, directors and their advisers on how to prepare and present effective prospectuses and investment statements.
19 January 2012

FMA and SFO sign Memorandum of Understanding

The Financial Markets Authority (FMA) and the Serious Fraud Office (SFO) have signed a Memorandum of Understanding (MOU) which will enhance their already close working relationship and drive greater efficiencies between the two agencies.
21 December 2011

FMA advises investors who receive unsolicited offers for their shares or other securities to seek advice

FMA asked VonWin Capital Management L.P. and Stock & Share Trading Company Pty Ltd for an enforceable undertaking and to include a statement provided by FMA at the beginning of any unsolicited offer they send to investors to ensure they make an informed decision. Read more.
15 December 2011

FMA to file civil proceedings against directors and promoters of the Hanover group

The Financial Markets Authority announced that it proposes to file civil proceedings against directors and promoters of Hanover Finance Ltd, Hanover Capital Ltd, and United Finance Ltd in 2012. Read more.