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  1. 29 March 2023

    FMA issues formal warning to Vanguard

    We have issued a formal warning to Vanguard Investments Australia Limited (Vanguard), for failing to lodge a required notice on the New Zealand Companies Office Disclose Register.
    Tags
    Media release, Enforceable action, Formal warning, Powers, Offer disclosure for equity and debt offers, Roles, Business, News & Insights, Enforcement
    Type
    Page

  2. 3 August 2011

    FMA completes NZX inquiry

    FMA has completed its inquiry into continuous disclosure issues in relation to comments made by Mr Mark Weldon, CEO of NZX Ltd, concerning the carrying value of its subsidiary Clear Grain Exchange.
    Tags
    Media release, News & Insights
    Type
    Page

  3. 7 July 2010

    Dominion and North South Finance Directors Charged

    The Securities Commission has laid criminal charges and issued civil proceedings against Dominion Finance Group Limited and North South Finance Limited directors Vance Arkinstall, Richard Bettle, Terence Butler, Ann Butler, Paul Forsyth and Robert Barry Whale. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  4. 11 March 2013

    Profitable Sunrise (Prosun)

    Illegally offers securities to the public in New Zealand in breach of NZ securities law.
    Tags
    Suspected scam, Scams
    Type
    Page

  5. 19 December 2018

    ZonggangCaifu

    ZonggangCaifu is not registered, licensed, or regulated in New Zealand as claimed on its websites.
    Tags
    Suspected scam, Scams
    Type
    Page

  6. 12 March 2021

    www.horizonlinelimited.com

    The FMA are concerned the operators of the website www.horizonlinelimited.com may be operating a scam. We have received a report of investors in the company being unable to withdraw their investments.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  7. 30 September 2020

    KML Investments Limited

    We are concerned that KML Investments Limited (KML) and www.kml-inv.com (the website) have the hallmarks of a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  9. 27 April 2022

    FMA warns about an imposter website: thelionhub.xyz

    WARNING: We have received complaint about this website unreasonably withholding client funds and asking for withdrawal fees*. The website claims to be a cryptocurrency and foreign exchange company.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  11. 16 January 2017

    Consultation paper: Requirement for managers of multiple participant schemes to register participation agreements

    Consultation paper: Requirement for managers of multiple participant schemes to register participation agreements. The proposal is to exempt these managers from the requirement to register participation agreements entered into with the various employers they service which form part of the scheme’s governing document.
    Tags
    Managed investment schemes, Supervisor, Consultations, Roles, Business
    Type
    Page

  14. 4 December 2020

    ARA Prescribed Minimum Standards and Conditions

    An auditor/audit firm must meet the minimum standards and conditions as prescribed under section 32 of the Auditor Regulation Act 2011. Read more about these standards and conditions.
    Tags
    Auditors, Licensing & registration, Roles, Business
    Type
    Page