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Found 2136 results. Displaying page 51 of 143

  1. 14 September 2022

    KiwiSaver Statements survey

    KiwiSaver statements survey to understand members’ engagement with their annual statement and attitudes towards KiwiSaver.
    Tags
    Managed investment schemes, Supervisor, Roles, KiwiSaver & Superannuation, Business, Consumer
    Type
    Page, Surveys

  2. 17 December 2019

    Thompson Mergers

    The FMA recommends exercising caution before dealing with Thompson Mergers, Newcorp Capital and the website www.thompsonmergers.com.
    Tags
    Suspected scam, Scams
    Type
    Page

  6. 6 November 2012

    Receivers and Managers appointed to Ross Asset Management

    John Fisk and David Bridgman of PwC appointed as receivers and managers, along with experienced brokers from First NZ Capital, to manage the business of David Ross and Ross Asset Management. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  7. 6 September 2010

    Updated Guide for Financial Entities

    The Securities Commission today released an updated edition of its QFE Adviser Business Statement Guide reflecting changes to the Financial Advisers Act.
    Tags
    Media release, News & Insights
    Type
    Page

  8. 7 April 2016

    Consultation paper: Exemption for small offers of co-operative shares

    Consultation paper: Exemption for small offers of co-operative shares. We are seeking views on the proposals to provide class exemptions which provide co-operative companies and industrial and provident societies a lighter path of compliance with the Financial Markets Conduct Act 2013 (FMC Act) when they offer their members shares of minimal value.
    Tags
    Offer disclosure for equity and debt offers, Offer information, Consultations, Exemptions, Roles, Business, FMA
    Type
    Page

  10. 6 June 2019

    Morgan DeVere Corporate Finance Limited and director Rene Moorby

    These charges relate to Morgan DeVere Corporate Finance Limited and Director Rene Moorby for breaches of the Financial Service Providers (Registration and Dispute Resolution) Act.
    Tags
    Court – criminal, Powers, FSPR abuse, Enforcement
    Type
    Page

  11. 23 July 2019

    FMA issues Stop Order against Syndicated Trusts Limited

    The Financial Markets Authority (FMA) has issued a Stop Order against Syndicated Trusts Limited (STL), ordering the company to stop advertising or accepting money for financial products.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  12. 18 December 2018

    Two men convicted on Crimes Act charges

    Robert Ian South and Murray Byron Provan have been found guilty at Tauranga District Court on charges filed by the FMA. Read more.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  13. 17 April 2018

    Consultation opens on dual language disclosure documents

    The FMA is seeking submissions on its proposal to enable companies offering investments to publish product disclosure statements (PDS) in both te reo Māori and English.
    Tags
    Media release, Roles, Business, Market operator, News & Insights
    Type
    Page

  15. 16 June 2021

    KiwiSaver switching research

    A review of KiwiSaver member behaviour in response to COVID-19. The research focused on the increased switching behaviour observed during the period of heightened market volatility in Feb-April 2020.
    Tags
    COVID-19, Roles, Reports and Papers, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Research