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Found 5813 results. Displaying page 257 of 388

  1. 17 January 2023

    Cigna Life Insurance New Zealand Limited

    Cigna Life Insurance New Zealand Limited has admitted to making false and/or misleading representations to customers in proceedings brought by the FMA. This page documents the timeline of enforcement activity.
    Tags
    Misleading statement, Court – civil, Powers, Enforcement
    Type
    Page

  2. 3 February 2023

    WOLFBROOK CAPITAL LIMITED

    WOLFBROOK CAPITAL LIMITED (FSP1001203) is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Powers, Business, Enforcement
    Type
    Page

  3. 10 March 2023

    Financial Services Legislation Amendment Act 2019 (FSLAA)

    The Financial Services Legislation Amendment Act 2019 (FSLAA) introduces a new framework for giving financial advice in New Zealand. Read a summary of the changes, the FMA's role, who needs a licence and get information on how to apply for a licence on these pages.
    Tags
    Compliance, New Financial Advice regime, Authorised body under a FAP, Financial Advice Provider, Financial Adviser, Roles, Business, Interposed persons under new financial advice regime, Nominated representatives
    Type
    Page

  6. 25 July 2015

    Capital + Merchant Finance Limited (CMF)

    FMA laid criminal charges and civil proceedings against five directors of CMF, Neal Nicholls, Owen Tallentire, Colin Ryan, Wayne Douglas and Robert Sutherland, under the Securities Act. These charges related to untrue statements in offer documents distributed in 2006. Read more.
    Tags
    Court – civil, Powers, Enforcement
    Type
    Page

  7. 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

  8. 18 June 2015

    Milford Asset Management Limited

    The FMA has reached an agreement with Milford to resolve the issues relating to Milford (but excluding the trader) arising from the investigation. Read more.
    Tags
    Market manipulation, Enforcement
    Type
    Page

  9. 26 February 2015

    Belgrave Finance Limited

    Belgrave directors Stephen Charles Smith and Shane Joseph Buckley, and associate Raymond Tasman Schofield were convicted on representative charges brought by the FMA under the Securities Act, the Companies Act and Crimes act along with their legal advisor Hugh Edward Staples Hamilton. Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  10. 17 December 2014

    South Canterbury Finance (SCF)

    The accused are Edward Sullivan, Robert White, Lachie McLeod, Terrence Hutton, Graham Brown. The SFO has laid 21 charges in total with FMA's assistance. The charges are laid under provisions of the Crimes Act: sections 220 (theft by person in special relationship), 240 (inducing by deception), 260 (false accounting) and 242 (false statement by promoter). Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  11. 18 December 2013

    National Finance 2000 Ltd (NFL)

    FMA alleged that the directors (Trevor Allan Ludlow, Carol Braithwaite, Anthony Banbrook) made untrue statements in the registered prospectus for National Finance 2000 Limited. Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  12. 25 May 2015

    Pacific Edge Limited

    FMA issued warning on continuous disclosure obligations and secures $500,000 compensation payment from Pacific Edge Limited.
    Tags
    Settlement, Enforcement
    Type
    Page

  13. 13 December 2021

    AMP FSNZ DBG

    AMP FSNZ DBG including: AMP Services (NZ) Limited, AMP Wealth Management New Zealand Ltd, and Advicefirst Limited
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  14. 29 April 2024

    Fresh Insurance Limited

    Fresh Insurance Limited (trading name: FutureFunds) is an AML/CFT reporting entity.
    Tags
    AML/CFT, Roles, Business
    Type
    Page