Back

Search results

Found 2136 results. Displaying page 115 of 143

  3. 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    The Financial Markets Authority has published draft guidance for securities issuers, directors and their advisers on how to prepare and present effective prospectuses and investment statements.
    Tags
    Media release, News & Insights
    Type
    Page, Guidance

  5. 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.
    Tags
    Media release, Formal warning, Powers, News & Insights, Enforcement
    Type
    Page

  7. 19 May 2015

    FMA removes offshore firms from the Financial Services Provider Register – warnings issued against companies who fail to respond

    The Financial Markets Authority (FMA) has confirmed that a number of offshore firms have recently been removed from the Financial Services Provider Register (FSPR). While the Registrar of Companies maintains the FSPR, the FMA has powers to direct the Registrar to remove companies from the FSPR where it is likely that a company is giving a false or misleading impression about the extent to which it is regulated in New Zealand.
    Tags
    Media release, Formal warning, Powers, News & Insights, Enforcement
    Type
    Page

  8. 25 May 2015

    Apple Fields directors fined on non-filing charges

    The two directors of Apple Fields Limited have today been fined $30,000 each at the Christchurch District Court for breaches of the Financial Reporting Act 1993.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  10. 20 November 2014

    The FMA reports on its 12 month performance

    The Financial Markets Authority (FMA) has published its 2014 annual report for the year ended 30 June 2014. During this period the FMA began implementing the largest statutory change in financial services in 30 years. Engaging with the industry to implement the Financial Markets Conduct Act 2013(FMC Act) was one of six major achievements outlined in the report, as the FMA continued to deliver its ongoing regulatory responsibilities.
    Tags
    Media release, FMA, News & Insights
    Type
    Page, Financial reporting

  11. 24 May 2011

    Incomplete Applications Slow AFA Approvals

    Up to 700 financial advisers may have to stop giving advice on KiwiSaver, managed funds and other investment products on 1 July because they haven't completed the qualifications needed to be an Authorised Financial Adviser (AFA).
    Tags
    Media release, News & Insights
    Type
    Page

  12. 28 January 2015

    FMA and NZX sign Memorandum of Understanding

    FMA and NZX have signed a Memorandum of Understanding. The MoU sets out the framework for engagement and co-operation between the FMA and NZX, taking into account their complementary regulatory responsibilities for New Zealand’s capital markets.
    Tags
    Governance, Media release, FMA, News & Insights
    Type
    Page

  13. 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.
    Tags
    Media release, News & Insights
    Type
    Page

  15. 31 July 2017

    Judgment confirmed in the FMA v Warminger as appeals withdrawn

    Mr Mark Warminger has withdrawn his appeal against the High Court judgment in the Financial Markets Authority v Warminger and as a result the FMA has withdrawn its cross-appeal.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page