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Found 2038 results. Displaying page 132 of 136

  1. 21 December 2011

    Stock & Share Trading Company Pty Ltd

    FMA asked Stock & Share Trading Company Pty Ltd for an enforceable undertaking and issued warning disclosure order to include FMA warning letter with any unsolicited offer they make to ensure investors make an informed decision. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  2. 8 February 2024

    Wisdom House Investment Partners Limited

    FMA filed criminal charges against Yuen Pok (Paul) Loo of Wisdom House following offences under financial markets legislation. View the history and progress of the case on this page.
    Tags
    Stop Order, Powers, Licence cancellation, Financial Advice Provider, Financial Adviser, Roles, Court – criminal, Business, Enforcement
    Type
    Page

  3. 6 June 2011

    Zero Commission NZ Limited

    FMA asked Zero for an enforceable undertaking and to include a statement provided by FMA at the beginning of the unsolicited offers to ensure that investors make an informed decision. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  4. 13 December 2011

    Kiwi Finance Limited

    This undertaking by Kiwi Finance directors(Rhys Anthony Greensill, Rodney Seymour Roberts Greensill, Barry Noel Lambert and Christopher Bruce Simkin) was accepted by FMA to conclude its civil claim investigations after Kiwi Finance went into receivership in April 2008. It resulted in full restitution of investors' funds, together with an enforceable undertaking from the Directors. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  5. 3 October 1994

    Power New Zealand Limited

    The decision of the Securities Commission in respect of an appeal under Section 69 Securities Act 1978 by Power New Zealand Limited against a decision of the Registrar to refuse registration of the prospectus. Read more
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  6. 23 April 2024

    News & Insights

    This section of the FMA website includes all news issued by the FMA including media releases; reports and papers; speeches; research papers; articles and opinion pieces.
    Tags
    News & Insights
    Type
    Page

  7. 27 November 2023

    Medical Assurance Society New Zealand Limited (MAS)

    Details of the case filed in the High Court against Medical Assurance Society New Zealand Limited (MAS) can be found on this page.
    Tags
    Fair dealing, Enforceable undertaking, Powers, Court – civil, Business, Enforcement
    Type
    Page

  8. 22 December 2023

    CBL

    FMA has reached agreement with CBL Corporation Limited (In Liquidation) (CBLC) and four of CBL's former directors in respect of the FMA's claims of continuous disclosure breaches and misleading conduct
    Tags
    Court – civil, Powers, Enforcement
    Type
    Page

  9. 12 October 2023

    Vero

    FMA filed High Court proceedings against Vero Insurance New Zealand Limited for failing to apply multi-policy discounts, which led to affected customers being overcharged approximately $8.7 million in premiums. View the case timeline on this page.
    Tags
    Court – civil, Powers, Enforcement
    Type
    Page

  10. 13 March 2024

    Natalie Ann Carter

    Between 2018 and 2020, former financial adviser, Ms Carter created various false documents for the purpose of obtaining home loans for herself and two clients.This page documents the case against Ms Carter.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  11. 11 October 2023

    Kiwibank

    The FMA filed High Court civil proceedings against Kiwibank for making false and/or misleading representations, under the fair dealing provisions of the Financial Markets Conduct Act (FMC Act). Read the case timeline on this page.
    Tags
    Cases, Court – civil, Powers, Enforcement
    Type
    Page

  12. 7 March 2024

    Tower Limited

    FMA filed civil proceedings against Tower Limited (Tower) for failing to apply multi policy discounts to eligible customers’ premiums, resulting in approximately $9.5 million* in overcharges. This page details out the background of the case and any associated communications resulting from the case.
    Tags
    Cases, Court – civil, Powers, Enforcement
    Type
    Page

  13. 29 June 2023

    Tiger Brokers (NZ) Limited

    The Auckland High Court has ordered Tiger Brokers (NZ) Limited to pay $900,000 for breaching the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009, in proceedings brought by the FMA.  
    Tags
    AML/CFT, Roles, Formal warning, Powers, Business, Enforcement
    Type
    Page

  14. 25 June 2015

    David Ross and Ross Asset Management Limited

    The criminal proceeding brought against Mr Ross by FMA relates to allegations of breaches of the Financial Markets Act, Financial Advisers Act and Financial Service Providers Act. Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  15. 25 September 2015

    OPI Finance Limited

    In our first action against market participants based overseas, we charged four Australian-based directors of OPI Pacific Finance Limited (in receivership and in liquidation) for suspected misconduct in relation to its collapse. Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page