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Found 5813 results. Displaying page 342 of 388

  3. 3 March 2017

    Mark Warminger - Judgment

    Mark Warminger Judgment in the HIgh Court issued in the case brought about by the FMA March 2017.
    Tags
    Cases, Enforcement
    Type
    PDF

  4. 12 February 2021

    ANZ Bank New Zealand Limited - High Court Judgment

    On 4 June 2020 the Financial Markets Authority (“FMA”) filed civil proceedings against ANZ Bank New Zealand Limited (“ANZ”) alleging various breaches of the Financial Markets Conduct Act 2013 (“the Act”). This is the High Court Judgment.
    Tags
    Court decision, Enforcement
    Type
    PDF

  7. 12 April 2023

    Wei (Walker) Zhong and Lei (Regina) Ding - Judgment

    High Court Judgment: Wei (Walker) Zhong and Lei (Regina) Ding have been found to have contravened the Financial Markets Conduct Act 2013 in relation to the trading of Oceania Natural Limited (ONL) shares.
    Tags
    Judgment, Enforcement
    Type
    PDF

  8. 18 December 2020

    PTT Limited - High Court Decision

    High Court Judgment in the case against PTT Limited, Maxwell Foster Limited and Gibson Mcleod Limited, 18 December 2020.
    Tags
    Type
    PDF

  9. 30 September 2022

    AIA New Zealand Ltd - Judgment

    23 September 2022 The Auckland High Court ordered life insurer AIA to pay a pecuniary penalty of $700,000 for making false and/or misleading representations to some customers.
    Tags
    Judgment, Enforcement
    Type
    PDF

  10. 1 June 2017

    Innovative Securities - Judgment

    High Court judgment issued to Innovative securities in the case between FMA and Innovative Securities, 1 June 2017.
    Tags
    Court decision, Judgment, Enforcement
    Type
    PDF

  11. 19 July 2019

    Syndicated Trusts - Stop Order

    The Stop Order issued by the FMA The Stop Order prohibits STL from certain activity, including:distributing communications and advertisements about itself or the offer of financial products,
    accepting applications or money for financial products.
    Tags
    Enforceable Undertaking, Enforcement
    Type
    PDF

  12. 12 May 2011

    Carrington Securities LP - Judgment

    High Court Judgment in the case between Securities Commission (FMA)and Carrington Securities LP, 12 May 2011.
    Tags
    Court decision, Enforcement
    Type
    PDF

  14. 6 May 2022

    The One Management GP Limited - Stop Order

    FMA confirmed it has made a stop order against The One Management GP Limited regarding an offer in relation to The One Property LP¹ (the Fund), which is only available to wholesale investors, including eligible investors. May 2022
    Tags
    Type
    PDF

  15. 15 February 2023

    Validus - Interim Stop Order

    INTERIM STOP ORDER made by the Financial Markets Authority (FMA) pursuant to section 465 of the Financial Markets Conduct Act 2013 (Act), issued to Validus.
    Tags
    Enforceable action, Enforcement
    Type
    PDF