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  9. 28 August 2019

    Eoin Malcolm Miller Johnson

    Eoin Malcolm Miller Johnson, a former director and chairman of NZX-listed Promisia Integrative Limited (PIL), admitted to insider trading conduct and breaching a director’s disclosure obligations.
    Tags
    Insider trading, Court – civil, Powers, Enforcement
    Type
    Page

  10. 25 February 2019

    Robert Ian South and Murray Byron Provan

    Two men, Robert Ian South and Murray Byron Provan, face various charges under the Crimes Act. Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  11. 30 October 2018

    Pacific Eagle Capital (PEC)

    The Financial Markets Authority (FMA) has issued an infringement notice to Pacific Eagle Capital (PEC) for failing to file financial statements by its due date. Read more.
    Tags
    Infringement notice, Powers, Enforcement
    Type
    Page

  12. 9 April 2019

    Mark Stephen Talbot

    Mr Talbot has offered this enforceable undertaking following an investigation made by the FMA into his trading of shares in VMob Group Limited (VMob). Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  14. 21 October 2021

    Income Analysts

    Warning: Income Analysts has characteristics of a scam, including cold calling New Zealand residents and marketing unrealistic returns.
    We recommend exercising caution before purchasing the trading education program promoted by Income Analysts.
    Tags
    Suspected scam, Scams
    Type
    Page

  15. 8 February 2018

    ABC123 Group

    ABC123 Group is holding out it is registered on the FSPR when it is not and they may be offering derivatives to New Zealand retail clients without holding a derivatives licence under the FMC Act.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page