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Media releases – 51

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6 March 2014

Contributory mortgage broker pleads guilty

Prudential Mortgage Limited, a contributory mortgage broking firm, has been convicted and fined $2,000 for failing to deliver its annual report to the Registrar of Companies by 30 June 2013. Prudential pleaded guilty to the charge laid by the FMA. Read more.
24 February 2014

Settlement reached for Lombard (In Receivership) claims

PwC, the Receivers of Lombard Finance & Investments Limited, have announced they have reached a settlement agreement with the Lombard Directors and a third party. Read more.
19 February 2014

Charges laid against contributory mortgage brokers

The Financial Markets Authority (FMA) has charged two contributory mortgage brokers (Prudential Mortgage Limited and First Mortgage Investments Limited) with failing to deliver annual reports. Read more.
17 December 2013

FMA guidance helps consumers access financial advice

The Financial Markets Authority has released guidance documents to help financial advisers give high-quality personalised advice.
5 December 2013

FMA releases audit quality report

The Financial Markets Authority (FMA) says its first audit quality review shows there is work to be done to meet the required standards.
5 December 2013

FMA releases stakeholder feedback report

The Financial Markets Authority (FMA) has released the findings of the 2013 FMA stakeholder feedback report.
28 November 2013

FMA announces new Chief Executive

The Financial Markets Authority (FMA) has appointed Rob Everett as its new Chief Executive, effective 3 February 2014.
15 November 2013

David Ross sentenced for New Zealand’s largest ever Ponzi

David Robert Gilmour Ross (63) has been sentenced in the Wellington District Court to 10 years and 10 months of imprisonment following a joint agency investigation by the SFO and the FMA. Read more.
5 November 2013

Charges laid against directors of OPI Pacific Finance

FMA has laid charges against four directors of OPI Pacific Finance Limited (in receivership and in liquidation). Read more.
30 October 2013

Disclosure documents need to improve

A report by the Financial Markets Authority (FMA) into prospectuses and investment statements (disclosure documents) highlights the need for issuers to lift their game.
24 October 2013

KiwiSaver assets jump 30 percent to top $16.5b

The Financial Markets Authority (FMA) says assets invested in KiwiSaver have passed $16.5 billion, up nearly $4 billion, or 30 percent, on last year.
16 October 2013

FMA cancels prospectus

The Financial Markets Authority (FMA) has cancelled the combined offer document of FMP Medical Services Limited (FMP) because it believes it is false or misleading. FMA is also of the view that the offer document is likely to deceive, mislead or confuse. Read more.
9 September 2013

FMA announcement on finance company cases

The Financial Markets Authority (FMA) has announced that it has completed investigations into four of its remaining finance company cases.
5 September 2013

Joint investigation results in charges for Strategic Planning Group

Following a joint investigation into the activities of Auckland based company Strategic Planning Group Limited (SPG), the SFO and FMA have laid charges against former financial adviser Andrew Hrothgar Robinson. Read more.
29 August 2013

David Ross pleads guilty

Wellington financial adviser David Robert Gilmour Ross (63) today pleaded guilty in the Wellington District Court to charges laid by the SFO and the FMA. Read more.