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  1. 7 July 2005

    Alpine Pacific Developments Limited

    Alpine Pacific Developments Limited has offered participatory securities for subscription in conjunction with individual unit titles under the Unit Titles Act 1972 since December 2004. It has done so without a registered prospectus, investment statement or deed of participation. No allotments of the securities have yet occurred. Alpine and the directors(Neil Gurdjieff Dougan, Ernest Ross Thomson) were, at the time of the offer, unaware that the offers had been made in contravention of the Securities Act 1978. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  2. 9 May 2024

    Financial Markets Conduct Abacus Storage King Exemption Notice 2024

    The Financial Markets Conduct (Abacus Storage King) Exemption Notice 2024 (Notice) exempts Abacus Storage Operations Limited (ASOL) and Abacus Storage Property Trust (the Trust) (together the issuers), and Abacus Storage Funds Management Limited (ASFML) (as responsible entity for the Trust under Australian law) from compliance with the disclosure requirements in Part 3 of the Financial Markets Conduct Act 2013 Act (Act), and exempts the Trust and ASFML from compliance with the governance requirements for managed investment schemes in Part 4 of the Act. The exemptions apply only to offers of stapled securities (each consisting of a share in ASOL and a unit in the Trust) which are made under an employee security plan established by the issuers to certain eligible persons in New Zealand (Abacus Storage King ESP).
    Tags
    Type
    PDF, Exemption notice

  3. 30 August 2012

    FMA welcomes Belgrave Finance sentencing

    Mr Buckley was sentenced to three years in prison after he pleaded guilty to 25 charges under the Securities Act, Crimes Act and the Companies Act. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  5. 25 June 2010

    Financial Advisers Urged to Get Ready for Regulation

    The Commissioner for Financial Advisers, David Mayhew, has urged advisers to get ready for the new regulatory regime. He also updated the Securities Commission's financial adviser implementation timetable.
    Tags
    Media release, News & Insights
    Type
    Page

  6. 2 June 2010

    Guide for Authorised Financial Advisers Released

    The Securities Commission today released the AFA Adviser Business Statement Guide to help financial advisers prepare for the new regulatory regime. The guide explains the document to be prepared by an adviser applying to become an Authorised Financial Adviser (AFA).
    Tags
    Media release, News & Insights
    Type
    Page, Guidance

  7. 2 July 2012

    Trans-Tasman mutual recognition of financial advisers announced

    The Australian Securities & Investments Commission (ASIC) and New Zealand's Financial Markets Authority (FMA) have announced mutual recognition arrangements for Australian and New Zealand financial advisers.
    Tags
    Media release, News & Insights
    Type
    Page

  8. 15 December 2010

    Hotchin's Assets Frozen on Commission Request

    The High Court granted interim asset preservation orders in respect of assets believed to be associated with former Hanover director Mark Hotchin to the Securities Commission(FMA's predecessor). Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  9. 15 April 2010

    Criminal Charges Laid Against Lombard Directors

    The Securities Commission has laid criminal charges against Lombard Finance & Investments directors Sir Douglas Graham, Michael Reeves, William Jeffries and Lawrence Bryant. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  10. 30 January 2013

    Guilty plea in Capital + Merchant Finance case

    Capital + Merchant Finance director, Owen Francis Tallentire, has pleaded guilty to three charges laid by the Financial Markets Authority under the Securities Act 1978. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  11. 13 April 2010

    Commission to Sue Nuplex Industries Limited and Directors

    The Securities Commission filed civil proceedings against Nuplex Industries Limited and six of its present or past directors, John Hirst, Robert Aitken, Barbara Gibson, David Jackson, Bryan Kensington and Michael Wynter. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  12. 30 November 2021

    International regulator warning: www.skywinprofit.com

    WARNING: Hong Kong Securities and Futures Commission (HKSFC) published a warning about the skywinprofit website on 16 Jun 2021 for falsely claiming to be licensed by the HKSFC and purporting to be associated HKSFC licensed entities.
    Tags
    International regulator alerts, Suspected scam, Consumer, Scams
    Type
    Page

  13. 29 May 2014

    FMA issues formal warning to St Laurence directors - investigation closed

    The Financial Markets Authority (FMA) has closed its investigation into St Laurence Limited (in liquidation) and has formally warned eight directors of St Laurence Limited in respect of potential breaches of the Securities Act.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  14. 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

  15. 25 May 2012

    FMA welcomes Belgrave Finance guilty plea

    Shane Joseph Buckley, a director of failed finance company Belgrave Finance Limited (In receivership and In liquidation), pleaded guilty to 25 charges under the Securities Act, Crimes Act, and the Companies Act. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page