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  1. 30 June 2017

    Penalty judgment in the case of FMA v Warminger

    The High Court imposed a total penalty of $400,000 on Mark Warminger for two contraventions of the Securities Markets Act 1978. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  2. 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

  3. 31 August 2022

    Medical Assurance Society DBG

    Medical Assurance Society DBG including: Medical Assurance Society New Zealand Limited, Medical Securities Limited, and Medical Funds Management Limited
    Tags
    AML/CFT, Roles, Designated Business Group (DBG), Business
    Type
    Page

  4. 6 September 2010

    Updated Guide for Financial Entities

    The Securities Commission today released an updated edition of its QFE Adviser Business Statement Guide reflecting changes to the Financial Advisers Act.
    Tags
    Media release, News & Insights
    Type
    Page

  5. 11 October 2017

    FMA files insider trading charges

    The FMA has filed criminal charges against an individual in the Auckland District Court alleging insider trading in contravention of the Securities Markets Act 1988. Read more.
    Tags
    Insider trading, Media release, Cases, News & Insights, Enforcement
    Type
    Page

  6. 28 January 2020

    Halsted Holdings Limited

    Selected Markets could be involved in a scam. Australian Securities and Investments Commission has advised on their website that this company could be involved in a scam and is unlicensed in Australia.
    Tags
    Suspected scam, Scams
    Type
    Page

  7. 7 August 2014

    Brian Henry admits market manipulation

    Brian Peter Henry has admitted all of the FMA's allegations that he breached the market manipulation prohibitions in the Securities Markets Act 1988. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  8. 19 October 2017

    The FMA and ASIC confirm trans-Tasman collaborative approach to fintech

    The Financial Markets Authority (FMA) and the Australian Securities and Investment Commission (ASIC) have reaffirmed their commitment to collaboration and cooperation on the expanding opportunities in fintech and innovation.
    Tags
    Media release, FMA, News & Insights
    Type
    Page

  9. 26 January 2012

    FMA to issue guidance on effective disclosure in offer documents

    The Financial Markets Authority has published draft guidance for securities issuers, directors and their advisers on how to prepare and present effective prospectuses and investment statements.
    Tags
    Media release, News & Insights
    Type
    Page, Guidance

  10. 20 March 2014

    First Mortgage Investments Limited

    This proceeding relates to an alleged failure to deliver an annual report to the Registrar of Companies in accordance with the requirements of Regulation 12 of the Securities Act (Contributory Mortgage) Regulations.
    Tags
    Enforcement
    Type
    Page, Financial reporting

  11. 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

  12. 31 October 2013

    Futures Contracts (iPredict Limited)

    Futures Contracts (iPredict Limited) Securities Markets Act Exemption Amendment Expiry Date on 2016-11-30.
    Tags
    Exemptions, Business
    Type
    Page

  13. 28 November 2018

    BrighterTrade

    We note a recent warning published by the Australian Securities and Investments Commission (ASIC) in relation to Igoten OU also knowns as BrighterTrade.
    Tags
    Suspected scam, Scams
    Type
    Page

  14. 15 April 2024

    Deutsche Bank DBG

    Deutsche Bank DBG including: Deutsche Bank AG (Sydney Branch), Deutsche Securities Australia Limited and Deutsche Capital Markets Australia Limited
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  15. 6 March 2014

    Prudential Mortgage Limited

    Prudential Mortgage Limited has been convicted and fined $2,000 for failing to deliver its annual report to the Registrar of Companies by 30 June 2013.
    Tags
    Court – civil, Powers, Enforcement
    Type
    Page