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  2. 13 April 2010

    Civil Proceedings Served on Lombard Finance & Investments Directors

    The Securities Commission has issued civil proceedings under the Securities Act against Lombard Finance & Investments directors Sir Douglas Graham, Michael Reeves, William Jeffries and Lawrence Bryant. Read more.
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    Media release, Cases, News & Insights, Enforcement
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  5. 22 October 2019

    Financial Markets Conduct Act (Masthead Joint Venture) Exemption Notice 2014

    This notice, which comes into force on 1 December 2014 and is revoked on 30 November 2019, exempts certain trustees from regulation 139 of the Financial Markets Conduct Regulations 2014 to the extent that the regulation requires event disclosures given by those trustees to have attached a full copy of the joint venture agreement that constitutes the Masthead Joint Venture. - expired
    Tags
    Exemptions, Secondary legislation, Business
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  9. 18 September 2015

    Third guilty plea entered in OPI Pacific Finance case

    A former director of OPI Pacific Finance, Craig Robert White, has pleaded guilty to misleading investors in a prosecution taken by the FMA. Read more.
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    Media release, Cases, News & Insights, Enforcement
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  11. 28 November 2014

    Phase two of financial markets law completes long-term overhaul

    The second phase of New Zealand’s new capital markets and financial services law takes effect from 1 December. Phase two includes licensing provisions that extend to several hundred further businesses, and a major shift in the quality of investor disclosure for financial products.
    Tags
    FMC Act, Legislation, Media release, Business, News & Insights
    Type
    Page

  12. 7 February 2013

    FMA concludes investigation into Strategic Finance

    The investigation into Strategic Finance Limited concluded, with FMA forming the view that six of the company's directors are likely to have breached the Securities Act. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page