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Found 3728 results. Displaying page 89 of 249

  1. 4 June 2013

    FMA report on NZX General Obligations Review

    The Financial Markets Authority has released its annual report on NZX’s compliance with its obligations under the Securities Markets Act and the Authorised Futures Exchange (NZX Limited) Notice. The period under review was 1 January to 31 December 2012.
    Tags
    Media release, News & Insights
    Type
    Page

  2. 17 December 2019

    Thompson Mergers

    The FMA recommends exercising caution before dealing with Thompson Mergers, Newcorp Capital and the website www.thompsonmergers.com.
    Tags
    Suspected scam, Scams
    Type
    Page

  4. 30 October 2014

    FMA focus on improving conduct and increasing trust in financial markets

    The Financial Markets Authority (FMA) Chief Executive Rob Everett has set out the evolving approach for the FMA as the regulator’s mandate expands under the Financial Markets Conduct Act, taking effect from 1 December.
    Tags
    FMC Act, Legislation, Media release, Business, News & Insights
    Type
    Page

  5. 6 March 2014

    Contributory mortgage broker pleads guilty

    Prudential Mortgage Limited, a contributory mortgage broking firm, has been convicted and fined $2,000 for failing to deliver its annual report to the Registrar of Companies by 30 June 2013. Prudential pleaded guilty to the charge laid by the FMA. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page, Financial reporting

  6. 15 November 2012

    Release of PwC report into Ross Asset Management

    The Receivers and Managers' focus over the first five days of their appointment has been to identify and secure investment assets. After searching the custody accounts identified by Mr Ross and through wider searches in international investment markets, they have so far located investments of only $10.2 million. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  9. 21 August 2015

    Guilty pleas entered in OPI Pacific Finance case

    Two former directors of OPI Pacific Finance, Mark Lawrence Lacy and Jason Robert Duncan Maywald, have pleaded guilty to two charges under the Securities Act 1978 in a prosecution commenced by the FMA in 2013. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  10. 14 July 2016

    FMCA licensing hits the home straight

    The deadline is looming for fund managers to get licensed under the Financial Markets Conduct Act (FMCA) and the Financial Markets Authority is putting out the final call to those that want to stay in the game.
    Tags
    Licensing & registration, Media release, Business, News & Insights
    Type
    Page

  11. 12 August 2020

    The Mayhill Agency (TMA)

    The FMA recommends exercising caution before dealing with The Mayhill Agency (TMA) and www.themayhillagency.com. The Mayhill Agency may be operating a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  12. 2 May 2011

    Bernard Whimp

    Shareholders in several listed companies have complained to the Securities Commission about offers made in March 2011 from limited partnerships associated with Mr Bernard Whimp. Read more.
    Tags
    Scams
    Type
    Page

  13. 30 September 2020

    Investam HK (Investam-HK)

    The FMA recommends exercising caution before dealing with Investam HK and www.investam-hk.com. We are concerned that the entity may be operating a scam.
    Tags
    Suspected scam, Consumer, Scams
    Type
    Page

  14. 20 September 2016

    Fraud and its far reaching effects hit the big screen

    The inaugural New Zealand International Fraud Film Festival (Fraud Film Festival) is coming to Auckland’s Q Theatre in November. The festival is timed to coincide with November’s Fraud Awareness Week and will open on Friday, 18 November.
    Tags
    Campaigns, Media release, Investing, Consumer, News & Insights
    Type
    Page