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  1. 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

  2. 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

  3. 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

  4. 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

  5. 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

  6. 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

  7. 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

  8. 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

  10. 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

  11. 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

  13. 27 May 2024

    Board and governance

    This webpage introduces the FMA Board.
    Tags
    FMA Board, FMA
    Type
    Page

  14. 3 October 2022

    World Investor Week 2022

    “A goal without a plan is just a wish” Having a well-thought-out plan is an important first step in your investing journey. Learn more #WorldInvestorWeek2022
    Tags
    World Investor Week, Campaigns, Investing, Consumer
    Type
    Page

  15. 4 October 2021

    World Investor Week 2021

    The FMA supports World Investor Week 2021 with panels, webinars and content. Read more.
    Tags
    World Investor Week, Investing, Campaigns, Consumer
    Type
    Page