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  3. 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

  5. 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

  6. 2 May 2011

    FMA Issues Whimp Warning

    The Financial Markets Authority (FMA) has today issued a warning about unsolicited offers that may be made by Mr Bernard Whimp and entities associated with him.
    Tags
    Media release, Formal warning, Powers, News & Insights, Enforcement
    Type
    Page

  7. 6 July 2015

    FMA settlement with Hanover defendants provides $18 million compensation for investors

    FMA has reached a settlement of its civil proceedings against the former directors of Hanover finance companies, and the former directors of a parent firm, Hanover Group Ltd. As part of the settlement, $18 million will be distributed to eligible investors who invested in the Hanover finance companies in the period from 7 December 2007 to 23 July 2008. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  8. 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.
    Tags
    Media release, Consumer, News & Insights
    Type
    Page, Guidance

  10. 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    Judgment confirmed in the FMA v Warminger as appeals withdrawn

    Mr Mark Warminger has withdrawn his appeal against the High Court judgment in the Financial Markets Authority v Warminger and as a result the FMA has withdrawn its cross-appeal.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

  11. 8 June 2012

    FMA releases final guidance on Effective Disclosure

    The Financial Markets Authority (FMA) has released its final guidance note for issuers, directors and advisers on Effective Disclosure.
    Tags
    Media release, News & Insights
    Type
    Page, Guidance

  12. 27 March 2023

    Cambridge Asset Management unreasonably withholding funds

    WARNING: FMA is aware of a New Zealand investor unable to withdraw funds invested with Cambridge Asset Management.
    Tags
    Suspected scam, Investor warning, Derivative Issuer, Roles, Business, Consumer, Scams
    Type
    Page

  14. 14 October 2021

    FMA censures Jarden for derivatives issuer licence breaches by OMF

    FMA has formally censured Jarden Securities Limited for contraventions by OM Financial Limited (OMF) as a licensed derivatives issuer (DI).
    Tags
    Compliance, Derivative Issuer, Enforceable action, Roles, Media release, Business, News & Insights, Enforcement
    Type
    Page