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  2. 30 April 2010

    Corman Oil Limited

    Corman Oil Limited appealed to Securities Commission against a decision of Registrar of Companies to refuse registration of Corman Oil Limited prospectus dated 2 February 2010, in accordance with section 42 of the Securities Act 1978. Read more.
    Tags
    Misleading statement, Breach, Enforcement
    Type
    Page

  3. 1 November 2022

    Du Val Mortgage Fund Limited Partnership

    Du Val Mortgage Fund Limited Partnership (FSP1000594) is an AML/CFT reporting entity
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    Page

  4. 1 November 2022

    Du Val Build to Rent Limited Partnership

    Du Val Build to Rent Limited Partnership (FSP1000596) is an AML/CFT reporting entity.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    Page

  5. 8 June 2021

    OneLend DBG

    OneLend DBG including: OneLend Limited and OneLend Trustee Limited
    Tags
    AML/CFT, Roles, Business, Designated Business Group (DBG)
    Type
    Page

  6. 30 September 2014

    Consultation Paper: The new accountability framework - Governance under Part 4 of the FMC Act

    Consultation Paper: The new accountability framework - Governance under Part 4 of the FMC Act. 10 submissions were received. Many of the comments were incorporated into a guidance note, outlining our expectations for governance under Part 4 of the FMC Act.
    Tags
    FMC Act, Governance, Legislation, Consultations, Roles, Business, FMA, Managed investment schemes, Supervisor
    Type
    Page

  7. 8 March 2017

    Consultation paper: KiwiSaver advice

    Consultation paper: KiwiSaver advice. This guidance note is for providers advising on KiwiSaver products and will replace our 2012 Guidance Note: Sale and Distribution of KiwiSaver. We are replacing this guidance to recognise feedback that our 2012 approach resulted in some people not getting the help they needed, as firms saw it as risky to provide advice. Read more here.
    Tags
    Consultations, Roles, Business, Managed investment schemes
    Type
    Page

  9. 16 August 2017

    Regulation Update: August 2017

    Read our latest update on changes to regulation in the following areas: making annual reports available to shareholders electronically; fees and levies; defined benefit schemes register obligations; civil liability and rating agency.
    Tags
    Regulation updates, Business
    Type
    Page

  10. 3 July 2018

    Arena Capital/Blackfort

    Mr Ryan, also known as Lance Jared Thompson, used the forex platform BlackfortFX as a façade to encourage more than 900 investors, who were mostly from the Christchurch region, to put about $8.3 million in the Ponzi scheme. Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  11. 7 September 2021

    COVID-19

    The FMA regularly posts information and updates relevant to the financial industry during periods of COVID-19. Please check these pages for content that may be relevant to you.
    Tags
    COVID-19, News & Insights
    Type
    Page

  13. 19 May 2011

    Bernard Whimp and associated limited partnerships

    Mr Whimp, and six of the Limited Partnerships made offers to purchase shares in a number of public companies in the form of “Deferred Payment” Offers which were said to be misleading and deceptive, in breach of s 13 of the Securities Markets Act 1988. Read more.
    Tags
    Enforcement
    Type
    Page

  14. 16 August 2018

    KiwiSaver Statements Report June 2018

    The report details the principal matters transacted under the Act during the year ended 30 June 2018, and contains the
    sixth annual summary of the statistical returns, required to be lodged by KiwiSaver schemes under section 125 of the Act.
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF, Report

  15. 18 November 2022

    Stonewood Key Management Limited

    Stonewood Key Management Limited is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page