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Found 1967 results. Displaying page 128 of 132

  1. 16 June 2022

    Update on the KiwiSaver default scheme provider change process

    May 2021, the Finance Minister and Minister of Finance and the Minister of Commerce and Consumer Affairs announced the 6 KiwiSaver providers who will offer default fund services from 1 December 2021.
    Tags
    KiwiSaver & Superannuation, Article, Consumer, News & Insights
    Type
    Page

  2. 9 April 2024

    Sirk Investments Limited – Imposter website, suspected scam

    The FMA is concerned that Sirk Investments Limited may be operating an ongoing scam. Its website is linked to an earlier warning issued about an imposter of J Rothschild.
    Tags
    Imposter website, Investor warning, Consumer, Scams
    Type
    Page

  4. 17 April 2024

    FMA cancels crowdfunding services licence for Equitise

    The FMA has cancelled the crowdfunding services licence of Equitise Pty Ltd (Equitise). The cancellation took effect on 3 April 2024.
    Tags
    Media release, Enforceable undertaking, Powers, Crowdfunding Service Provider, Crowdfunding providers, Roles, Business, News & Insights, Enforcement
    Type
    Page

  5. 17 April 2024

    AxonExchange – Imposter website, suspected scam

    The FMA recommends caution when dealing with AxonExchange and its associated websites. We are aware of an investor who has invested with AxonExchange and is now unable to withdraw funds.
    Tags
    Imposter website, Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  7. 7 April 2008

    Foodstuffs (Wellington) Co-Operative Society Limited

    The Foodstuffs (Wellington) Co-operative Society Limited and its directors undertakes that they will not offer securities to the public for subscription, other than in an investment statement, registered prospectus, or authorised advertisement that complies with the Securities Act and the Regulations, or in accordance with any applicable exemption granted by the Commission. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  8. 7 July 2005

    Braemar Lodge 2004 Limited

    Braemar Lodge 2004 Limited offered participatory securities for subscription in conjunction with individual unit titles under the Unit Titles Act 1972 without a registered prospectus, investment statement or deed of participation. Braemar and the directors(Neil Gurdjieff Dougan, Ernest Ross Thomson) were, at the time of the offer, unaware that the offers had been made in contravention of the Securities Act 1978. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  9. 13 July 2012

    Robert Ross and Ross Investments (Aust) Pty Limited

    Ross Investments (Aust) Pty Limited and Robert Ross entered into an enforceable undertaking to include FMA statement in unsolicited offer documents made before 1 December 2012. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  10. 3 November 2023

    Insider trading case involving Pushpay shares

    The FMA has filed proceedings against two individuals for alleged insider trading in relation to the sale of shares in Pushpay Holdings Limited (NZX:PPH).
    Tags
    Insider trading, Enforcement
    Type
    Page

  11. 21 July 2023

    Forestlands and director Rowan Charles Kearns

    Rowan Kearns, the founder and sole director of the Forestlands group of companies, was sentenced yesterday to four months’ community detention and 100 hours’ community work with a 9pm – 7am curfew.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  12. 10 March 2023

    Du Val

    The FMA has warned Du Val Capital Partners Limited (DVCP), the general partner of the Du Val Mortgage Fund Limited Partnership (Du Val Mortgage Fund, MFLP, the Fund) and Du Val Group. See all enforcement activity relating to Du Val on this page
    Tags
    Misleading statement, Enforcement
    Type
    Page

  13. 23 January 2015

    Notification of Warning: individual trader – market manipulation

    The Financial Markets Authority has issued a warning to an individual in relation to suspected market manipulation. Following an investigation by the FMA, it concluded that trading by the individual in question has likely breached the Securities Markets Act 1988. Read more.
    Tags
    Market manipulation, Enforcement
    Type
    Page

  14. 10 May 2016

    Management bans and undertakings of non-participation

    Listed below are individuals who are precluded from engaging in certain activities in respect of the governance and/or management of companies as a consequence of action taken by the FMA.
    Tags
    Enforceable action, Enforceable undertaking, Powers, Enforcement
    Type
    Page

  15. 1 February 2013

    NZ finance company collapses (2006–2012)

    The scale and circumstances of the Finance industry failure since 2006 gave rise to concerns of inappropriate behaviour and breaches of the Securities Act and a programme of investigations into the failures was initiated. Read more.
    Tags
    Enforcement
    Type
    Page