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  2. 9 September 2013

    FMA announcement on finance company cases

    The Financial Markets Authority (FMA) has announced that it has completed investigations into four of its remaining finance company cases.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  3. 4 March 2011

    Nathans' Director Pleads Guilty to Securities Commission Charges

    John Hotchin, a former director of Nathans Finance NZ Limited (in receivership) ('Nathans') has pleaded guilty to three charges laid by the Securities Commission under section 58 of the Securities Act 1978. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  6. 17 August 2012

    FMA welcomes ruling on asset preservation orders

    The Court of Appeal has dismissed an appeal by the trustees of the KA3 and KA4 trusts on interim asset preservation orders obtained by FMA. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  7. 23 February 2011

    Securities Commission and Nuplex Reach Settlement

    The Securities Commission and Nuplex Industries Limited have reached a full and final settlement of the matters raised in the Commission's proceedings. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  8. 22 June 2010

    Securities Commission Welcomes Commerce Commission Settlement with ANZ and ING

    The Securities Commission welcomes the settlement that relates to the Commerce Commission's investigation into alleged breaches of the Fair Trading Act 1986 by ANZN and ING and other entities in relation to the marketing, promotion and sale of the ING Diversified Yield Fund and ING Regular Income Fund. Read more.
    Tags
    Media release, News & Insights
    Type
    Page

  9. 28 February 2013

    FMA signals its compliance focus for 2013

    The Financial Markets Authority (FMA) has released its compliance focus for 2013 which outlines FMA's priority areas for monitoring and surveillance over the next year.

    Tags
    Media release, News & Insights
    Type
    Page

  10. 9 August 2012

    New Chair for Financial Adviser Code Committee

    The Code Committee for Authorised Financial Advisers (AFAs) has elected David Ireland as Chair for the next 12 months.
    Tags
    Governance, Media release, FMA, News & Insights
    Type
    Page

  12. 1 February 2011

    Commission Takes Action Against Insured Group

    The Securities Commission has commenced civil proceedings against Insured Group Limited, formerly known as Lombard Group Limited, in relation to alleged breaches in 2007 and 2008 of the continuous disclosure provisions of the Securities Markets Act 1988. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  15. 16 April 2018

    Consultation paper: Including an annual declaration of compliance in regulatory returns and updating the standard regulatory returns condition

    Consultation paper: Including an annual declaration of compliance in regulatory returns and updating the standard regulatory returns condition. Read more.
    Tags
    Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Managed investment schemes, Peer-to-peer lending service providers, Consultations, Roles, Business
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