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  1. 13 March 2024

    Natalie Ann Carter

    Between 2018 and 2020, former financial adviser, Ms Carter created various false documents for the purpose of obtaining home loans for herself and two clients.This page documents the case against Ms Carter.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  2. 11 August 2023

    Enprise Group Limited

    FMA issues a formal warning to Enprise Group Limited (Enprise), for failing to keep proper accounting records.
    Tags
    Powers, Enforceable undertaking, Formal warning, Enforcement
    Type
    Page

  3. 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

  4. 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

  5. 8 June 2023

    AA Insurance Limited (AAI)

    FMA has files civil proceedings against AA Insurance Limited (AAI)
    Tags
    Fair dealing, Insurance Providers, Court – civil, Powers, Business, Enforcement
    Type
    Page

  6. 1 August 2022

    Kalkine

    FMA directed Kalkine New Zealand Limited to stop making outgoing sales calls to people in New Zealand following concerns about the entity’s misleading marketing conduct.
    Tags
    Activity, Misleading statement, 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. 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

  9. 7 August 2014

    Brian Peter Henry

    At the Auckland High Court, Mr Henry admitted FMA allegations that he breached the market manipulation prohibitions in the Securities Markets Act 1988, and a pecuniary penalty of $130,000 was imposed by the Court.
    Tags
    Cases, Market manipulation, Enforcement
    Type
    Page

  11. 1 May 2024

    No rest for the scammed: Recovery room fraudsters prey on past victims

    A recovery room scam is a form of ‘advance fee’ scam, where money is requested before funds can be returned. Targets of these scams are those who have already been a victim of a scam.
    Tags
    Real life scam stories, News, Consumer, News & Insights, Scams
    Type
    Page

  12. 28 September 2018

    Binary options

    Binary options are very high risk, even for experienced investors. Find out more about binary options and their risks and returns on this page.
    Tags
    Binary options, Ways to invest, Investing, Consumer
    Type
    Page

  13. 20 October 2022

    Investments for wholesale and eligible investors

    Wholesale investment offers are aimed at experienced investors, often with large sums of money to invest. Read more about wholesale investors and investments on this page.
    Tags
    Wholesale investing, Ways to invest, Investing, Consumer
    Type
    Page

  14. 8 May 2023

    Contact

    Find out how to contact the FMA if you wish to ask us a question; make a complaint; contact our helplines, visit our offices or make a media enquiry.
    Tags
    FMA
    Type
    Page