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  1. 23 August 2018

    Forestlands Limited - Judgment

    High Court Judgment in the case against Forestlands Limited, 23 April 2018.
    Tags
    Court decision, Enforcement
    Type
    PDF

  5. 30 September 2022

    AIA New Zealand Ltd - Judgment

    23 September 2022 The Auckland High Court ordered life insurer AIA to pay a pecuniary penalty of $700,000 for making false and/or misleading representations to some customers.
    Tags
    Judgment, Enforcement
    Type
    PDF

  6. 4 July 2019

    Viaduct and Mutual - Judgment

    Court of Appeal Judgment in the case against Paul Neville Bublitz, 4 July 2019.
    Tags
    Court decision, Enforcement
    Type
    PDF

  7. 25 September 2015

    Vivier and Company Limited - Judgment

    High Court Judgment in the case against Vivier and Company Limited on 25 September 2015.
    Tags
    Court decision, Enforcement
    Type
    PDF

  8. 30 June 2017

    Mark Warminger -Penalty Judgment

    High Court Penalty Judgment in the case against Mark Warminger, 29 June 2017.
    Tags
    Court decision, Enforcement
    Type
    PDF

  9. 6 May 2022

    The One Management GP Limited - Stop Order

    FMA confirmed it has made a stop order against The One Management GP Limited regarding an offer in relation to The One Property LP¹ (the Fund), which is only available to wholesale investors, including eligible investors. May 2022
    Tags
    Type
    PDF

  10. 15 February 2023

    Validus - Interim Stop Order

    INTERIM STOP ORDER made by the Financial Markets Authority (FMA) pursuant to section 465 of the Financial Markets Conduct Act 2013 (Act), issued to Validus.
    Tags
    Enforceable action, Enforcement
    Type
    PDF

  11. 5 July 2023

    Validus - Stop Order

    FMA makes permanent stop order against Validus after appeal is dismissed in the High Court.
    Tags
    Stop Order, Enforceable undertaking, Powers, Enforcement
    Type
    PDF

  12. 28 March 2022

    The One Management GP Limited and James Law Realty - Interim Stop Order

    FMA issued an interim stop order to The One Management GP Limited and James Law Realty regarding an offer in relation to The One in Longhorn Partnership Fund (‘the Fund’), which is only open to wholesale investors, including eligible investors. 28 March 2022
    Tags
    Enforceable action, Enforcement
    Type
    PDF

  13. 7 March 2022

    Simplicity NZ Ltd - Direction Order

    Direction order issued to Simplicity NZ Limited pursuant to section 414 of the FMC Act 2022 7 March 2022.
    Tags
    Managed funds, Investigations, Ways to invest, Investing, Consumer, Enforcement
    Type
    PDF

  14. 24 March 2011

    Bernard Whimp - Interim Stop Order

    The High Court, on application from the Securities Commission, has granted interim injunctions to stop shares being transferred to limited partnerships associated with Mr Bernard Whimp.
    Tags
    Type
    PDF

  15. 10 October 2019

    Circle Markets Limited - Formal Warning

    Notification of a formal warning from the FMA to Circle Markets Ltd under section 80 of the Anti-money laundering and countering finance of terrorism Act 2009. 10 October 2019.
    Tags
    AML/CFT, Roles, Business, Enforcement
    Type
    PDF