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  2. 6 May 2016

    Exemption notice - IAG Ltd

    Financial Markets Conduct Exemption Notice 2016: Insurance Australia Group Limited.
    Tags
    Exemptions, Business
    Type
    PDF

  4. 4 July 2023

    Capital Gold Investment – False claims, withholding funds

    Capital Gold Investment is falsely claiming to be a New Zealand company, using a NZ Business Number (NZBN) of another company that has been removed from the New Zealand Companies Register.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  5. 20 February 2015

    Going Public - a directors guide

    This guide is intended to help directors assess whether going public is the right choice for their company and provide an insight into the process of becoming a public company. It is not a comprehensive account of the legal obligations of directors during an initial public offering (IPO).
    Tags
    Directors, Roles, Business
    Type
    PDF, Guidance

  6. 31 August 2022

    Copyright

    You are welcome to use material from this website as long as its source is acknowledged. Authorisation to use any material on this site that is subject to copyright of a third party must be obtained from the copyright holder. For Silverstripe support, search keyword: xyyxyyxyy
    Tags
    Type
    Page

  7. 28 November 2023

    FMA cancels Foundation Advice Limited’s financial advice provider licence

    FMA has cancelled Foundation Advice Limited (FAL)’s Financial Advice Provider (FAP) licence. FAL was an Auckland-based FAP offering advice on life and health insurance as well as KiwiSaver.
    Tags
    Media release, Financial Advice Provider, Licensing & registration, Insurance Providers, Roles, Licence cancellation, Powers, Business, News & Insights, Enforcement
    Type
    Page

  8. 28 August 2017

    Prince Partners - Judgment

    High Court Judgment in the case against Prince and Partners Trustee Company Limited, 25 August 2017.
    Tags
    Enforcement
    Type
    PDF

  9. 18 November 2019

    Investors’ guide to auditing

    FMA guide to auditing for investors.
    Tags
    Investment basics, Investing, Article, Consumer, News & Insights
    Type
    Page

  10. 30 April 2020

    Insurer COVID 19 Expectations

    Letter from the Director of Banking and Insurance, FMA to stakeholders detailing the FMA expectation during COVID-19
    Tags
    Financial Advice Provider, Banking, Roles, Business
    Type
    PDF, Letter

  11. 1 May 2020

    Roger Gannon - Formal Warning

    Summary of Formal Warning issued by the FMA following an investigation into Mr Gannon, an AFA and Director of Gannon Insurance Brokers Limited, May 2020.
    Tags
    Enforcement
    Type
    PDF

  12. 22 July 2015

    Lombard Finance & Investments

    The breaches relate to Lombard's failure to disclose information to the market, such as loan book quality and liquidity, regarding the performance of its finance company subsidiary Lombard Finance and Investments Limited (LFIL). Read more.
    Tags
    Enforcement
    Type
    Page

  13. 5 September 2013

    Joint investigation results in charges for Strategic Planning Group

    Following a joint investigation into the activities of Auckland based company Strategic Planning Group Limited (SPG), the SFO and FMA have laid charges against former financial adviser Andrew Hrothgar Robinson. Read more.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  14. 1 August 2013

    Guardian Trust submission

    Submission made on behalf of The New Zealand Guardian Trust Company Limited in response to the consultation paper 'Practical Implications of Reporting Entitie transacting with other Reporting Entities and the Factsheet.
    Tags
    Consultations, Supervisor, Roles, Business
    Type
    PDF