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Found 1907 results. Displaying page 102 of 128

  2. 16 April 2018

    Crafters & Co. Limited and Hadleigh Petherick

    Misleading or deceptive statements regarding financial position included in an investment memorandum for Crafters & Co. Limited which was used as part of a crowdfunding campaign.
    Tags
    Suspected scam, Formal warning, Powers, Enforcement, Scams
    Type
    Page

  3. 28 August 2017

    Prince and Partners

    In taking these proceedings, it was the first time FMA brought s 34 case and acted in the place of the investors in Viaduct who lost most of their investments when Viaduct was put into receivership. Read more.
    Tags
    Court – civil, Powers, Enforcement
    Type
    Page

  5. 4 February 2010

    Inertialess Drive ZPE (2010) Limited

    The Securities Commission warns people who have been invited to invest in Inertialess Drive ZPE (2010) Limited that its share offer is illegal.
    Tags
    Suspected scam, Scams
    Type
    Page

  6. 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

  8. 2 February 2017

    The FMA’s guide designed to help providers focus on good conduct

    Today the FMA published the final version of the guide into the FMA’s view of conduct. The FMA has also published submissions from industry, considered as part of the consultation process.
    Tags
    Conduct, Media release, Business, News & Insights
    Type
    Page

  9. 21 October 2021

    New climate-related disclosure regime expands FMA’s responsibilities

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko acknowledges the passage of the third reading of the Financial Sector (Climate-related Disclosures and Other Matters) Amendment Bill.
    Tags
    Directors, Roles, Legislation, Climate related disclosure, Media release, Business, News & Insights
    Type
    Page

  10. 5 March 2021

    FMA publicly warns financial adviser for KiwiSaver advice in wake of COVID-19

    The Financial Markets Authority (FMA) has issued a public warning to a financial adviser due to advice he gave clients in relation to their KiwiSaver and other investments following COVID-19 market volatility.
    Tags
    Cases, COVID-19, Financial advice, Media release, Consumer, News & Insights, Enforcement
    Type
    Page

  11. 2 September 2022

    The 5 D’s of DIY investing

    Follow these tried and tested principles to help you navigate DIY investing.
    Tags
    Investing, Consumer
    Type
    Page

  13. 22 June 2016

    Andrew Robinson (SPG and SPGI) and Mark Turnock (SPGI)

    The criminal proceeding brought by FMA relates to allegations of breaches of the FR Act, FA Act and FSPR Act. The Serious Fraud Office has also laid separate charges under the Crimes Act against Mr Robinson. Mr Turnock was charged under the FR Act. Read more.
    Tags
    Cases, Crimes Act, Legislation, Business, Enforcement
    Type
    Page, Financial reporting

  14. 28 January 2022

    FMA investor profile - Eseta Leau

    Our latest Investor Profile features Eseta Leau, who uses her law and commerce background as a consultant to serve Pacific communities and is a novice investor. Read more about Eseta's investment story.
    Tags
    Investor information, FMA stories, Insights, Article, Consumer, News & Insights
    Type
    Page

  15. 26 February 2015

    Belgrave Finance Limited

    Belgrave directors Stephen Charles Smith and Shane Joseph Buckley, and associate Raymond Tasman Schofield were convicted on representative charges brought by the FMA under the Securities Act, the Companies Act and Crimes act along with their legal advisor Hugh Edward Staples Hamilton. Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page