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Found 3017 results. Displaying page 52 of 202

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
19 December 2014

Securities Act (Banks’ Regulatory Capital)

Securities Act (Banks’ Regulatory Capital) expired exemption notice

Tags

Exemptions, Secondary legislation, Business

Type

Page
14 March 2014

Securities Act (Banks' Regulatory Capital)

Securities Act (Banks' Regulatory Capital) expired exemption notice

Tags

Exemptions, Secondary legislation, Business

Type

Page
29 April 2011

Financial Reporting Act (Tower Financial Services Group Limited)

Financial Reporting Act (Tower Financial Services Group Limited) expired exemption notice

Tags

Exemptions, Secondary legislation, Business

Type

Page
18 November 2016

Financial Markets Conduct (Property Schemes—Custody of Assets) Exemption Notice 2016

Financial Markets Conduct (Property Schemes—Custody of Assets) Exemption Notice 2016 - expired

Tags

Exemptions, Secondary legislation, Business

Type

Page
31 August 2022

HAMILTON HINDIN GREENE LIMITED

Tags

Type

Page
31 August 2022

NEW ZEALAND DEPOSITORY NOMINEE LIMITED

NEW ZEALAND DEPOSITORY NOMINEE LIMITED is an AML reporting entity

Tags

AML/CFT, Reporting entities, Roles, Business

Type

Page
31 August 2022

FMA makes permanent stop order to Wisdom House Investment Partners Limited and Yuen Pok Loo

FMA has made a permanent stop order that applies to Wisdom House Investment Partners Limited and Yuen Pok (Paul) Loo after they engaged in misleading and dishonest conduct.

Tags

Enforceable action, Financial Adviser, Roles, Business, News & Insights, Enforcement

Type

Page
16 August 2022

FMA makes interim stop order and warns public about Wisdom House Investment Partners Limited and Yuen Pok Loo

MEDIA RELEASE issued by the FMA announcing an interim stop order that applies to Wisdom House Investment Partners Limited and Yuen Pok.

Tags

Media release, Enforceable action, Investigations, News & Insights, Enforcement

Type

Page
19 March 2016

Securities Act (Heartland Bank Regulatory Capital (No 2))

Heartland Bank Regulatory Capital (No 2) - expired exemption notice

Tags

Exemptions, Secondary legislation, Business

Type

Page
1 December 2016

Financial Markets Conduct (Equine Bloodstock) Exemption Notice 2016

Financial Markets Conduct (Equine Bloodstock) Exemption Notice 2016

Tags

Secondary legislation, Exemptions, Business

Type

Page
11 November 2014

Directors of SPI companies agree to enforceable undertakings

Murray Rex Alcock and Allister Ronald Knight (the Directors), of the various entities comprising the SPI group of companies (including SPI Property Fund Limited), have provided enforceable undertakings to the FMA. Read more.

Tags

Media release, News & Insights, Enforcement

Type

Page
28 October 2011

FMA warns potential property investors with no income to seek legal and financial advice

The Financial Markets Authority is warning potential property investors with no income, who are currently being targeted by advertising to attend property seminars, to seek legal and financial advice.

Tags

Media release, News & Insights

Type

Page
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
23 December 2020

Financial Advisers (Overseas Custodians—Assurance Engagement) Exemption Notice 2018

Financial Advisers (Overseas Custodians—Assurance Engagement) Exemption Notice 2018

Tags

Exemptions, Secondary legislation, Business

Type

Page