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Found 2955 results. Displaying page 196 of 197

  1. 24 April 2012

    Sean Wood

    Sean Wood appealed against a Financial Markets Authority decision to decline his application for authorisation as an Authorised Financial Adviser (AFA). Read more.
    Tags
    Powers, Licence cancellation, Enforcement
    Type
    Page

  2. 15 October 2013

    FMP Medical Services Limited

    Financial Markets Authority made orders under section 43G{l}(c} and section 43F(l}(a} of the Securities Act 1978, cancelling registration of the registered combined prospectus and investment statement for an issue of equity securities of FMP Medical Services Limited and prohibiting the distribution of the Offer Document. Read more.
    Tags
    Stop Order, Powers, Enforcement
    Type
    Page

  3. 3 October 1994

    Power New Zealand Limited

    The decision of the Securities Commission in respect of an appeal under Section 69 Securities Act 1978 by Power New Zealand Limited against a decision of the Registrar to refuse registration of the prospectus. Read more
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  4. 13 March 2024

    Natalie Ann Carter

    Between 2018 and 2020, former financial adviser, Ms Carter created various false documents for the purpose of obtaining home loans for herself and two clients.This page documents the case against Ms Carter.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  5. 3 November 2023

    Insider trading case involving Pushpay shares

    The FMA has filed proceedings against two individuals for alleged insider trading in relation to the sale of shares in Pushpay Holdings Limited (NZX:PPH).
    Tags
    Insider trading, Enforcement
    Type
    Page

  6. 5 October 2023

    Barry Kloogh (Financial Planning Limited and Impact Enterprises Limited)

    Mr Kloogh was offering brokering services to clients through the first defendant, Financial Planning Ltd, and the second defendant, Impact Enterprises Ltd, although neither they nor he was registered to offer broking services. The FMA referred the matter to the Serious Fraud Office.
    Tags
    Court – criminal, Licence cancellation, Powers, Enforcement
    Type
    Page

  7. 8 June 2023

    AA Insurance Limited (AAI)

    FMA has files civil proceedings against AA Insurance Limited (AAI)
    Tags
    Fair dealing, Insurance Providers, Court – civil, Powers, Business, Enforcement
    Type
    Page

  8. 19 October 2022

    InvestNow Saving and Investment Service Limited

    The FMA has issued a formal warning to InvestNow Saving and Investment Service Limited for failing to comply with the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act.
    Tags
    Powers, AML/CFT, Roles, Formal warning, Business, Enforcement
    Type
    Page

  9. 1 July 2022

    Western Union Business Solutions (Australia) Pty Ltd

    FMA censured Western Union Business Solutions (Australia) Pty Ltd for materially contravening key Standard Conditions of its derivatives issuer licence relating to net tangible assets (NTA).
    Tags
     Licence contraventions, Powers, Derivative Issuer, Roles, Business, Enforcement
    Type
    Page

  10. 13 July 2015

    David John Hobbs and Jacqueline Hobbs

    The Financial Markets Authority (FMA) has accepted enforceable undertakings from David John Hobbs and Jacqueline Hobbs, limiting their activities in New Zealand’s financial markets. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  11. 25 May 2015

    Pacific Edge Limited

    FMA issued warning on continuous disclosure obligations and secures $500,000 compensation payment from Pacific Edge Limited.
    Tags
    Settlement, Enforcement
    Type
    Page

  12. 29 April 2024

    Guidance

    The guidance library contains the FMA’s guidance notes, information sheets, guides and other reference material.
    Tags
    Business
    Type
    Page, Guidance

  13. 10 May 2016

    Management bans and undertakings of non-participation

    Listed below are individuals who are precluded from engaging in certain activities in respect of the governance and/or management of companies as a consequence of action taken by the FMA.
    Tags
    Enforceable action, Enforceable undertaking, Powers, Enforcement
    Type
    Page

  15. 2 April 2024

    Consultation: Proposed exemption for certain green, social, sustainability and sustainability-linked bonds

    The FMA is consulting on a proposed class exemption to provide relief from disclosure requirements for certain green, social, sustainable, and sustainability-linked bonds. Have your say by 30 April 2024 .
    Tags
    Consultations, Offer disclosure for equity and debt offers, Ethical finance, Managed Investment Schemes, Climate Reporting Entities, Roles, Business
    Type
    Page