Back

Search results

Found 6015 results. Displaying page 389 of 401

  1. 5 July 2023

    Validus and its associated persons

    The FMA has made a permanent stop order that applies to Validus International LLC, Validus-FZCO, and associated persons of Validus, using the FMA’s powers under the Financial Markets Conduct Act 2013.
    Tags
    Stop Order, Powers, Enforcement
    Type
    Page

  2. 10 March 2023

    Du Val

    The FMA has warned Du Val Capital Partners Limited (DVCP), the general partner of the Du Val Mortgage Fund Limited Partnership (Du Val Mortgage Fund, MFLP, the Fund) and Du Val Group. See all enforcement activity relating to Du Val on this page
    Tags
    Misleading statement, Enforcement
    Type
    Page

  3. 20 October 2022

    Williams Corporation Capital Partnership GP Limited

    The FMA has issued a formal warning to Williams Corporation Capital Partnership GP Limited following concerns that they may have failed to give disclosures to investors as required by Part 3 of the Financial Markets Conduct Act 2013 because it relied on the wholesale investor exclusion in circumstances where they were not entitled to. This is because some eligible investor certificates were incomplete.
    Tags
    Offer disclosure for equity and debt offers, Wholesale investing, Roles, Ways to invest, Investing, Conduct, Formal warning, Powers, Business, Consumer, Enforcement
    Type
    Page

  4. 29 March 2023

    Vanguard

    FMA has issued a formal warning to Vanguard, for failing to lodge a required notice on the New Zealand Companies Office Disclose Register. A notice should have been lodged of an exercise of power taken against it, by the Australian Securities and Investment Commission (ASIC).
    Tags
    Formal warning, Powers, Enforcement
    Type
    Page

  5. 22 December 2022

    The Property Crowd

    FMA has suspended the crowdfunding provider licence of The Property Crowd after the entity materially contravened its licensee obligations.
    Tags
    Crowdfunding providers, Roles,  Licence contraventions, Powers, Business, Enforcement
    Type
    Page

  6. 3 February 2023

    WOLFBROOK CAPITAL LIMITED

    WOLFBROOK CAPITAL LIMITED (FSP1001203) is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Powers, Business, Enforcement
    Type
    Page

  7. 20 October 2022

    Wolfbrook Capital Limited

    The FMA has issued a formal warning to Wolfbrook Capital Limited following concerns that they may have failed to give disclosures to investors as required by Part 3 of the Financial Markets Conduct Act 2013 because it relied on the wholesale investor exclusion in circumstances where they were not entitled to. This is because some eligible investor certificates were incomplete.
    Tags
    Offer disclosure for equity and debt offers, Wholesale investing, Roles, Ways to invest, Investing, Formal warning, Powers, Business, Consumer, Enforcement
    Type
    Page

  8. 30 September 2022

    AIA

    The Auckland High Court has ordered life insurer AIA to pay a pecuniary penalty of $700,000 for making false and/or misleading representations to some customers.
    Tags
    Court – civil, Powers, Enforcement
    Type
    Page

  9. 20 October 2022

    E+O Property Syndication Limited

    The FMA has issued a formal warning to Formal warning: E+O Property Syndication Limited following concerns that it may have failed to give disclosures to investors as required by Part 3 of the Financial Markets Conduct Act 2013 because it relied on the wholesale investor exclusion in circumstances where they were not entitled to. This is because some eligible investor certificates were incomplete.
    Tags
    Wholesale investing, Ways to invest, Investing, Offer disclosure for equity and debt offers, Roles, Conduct, Formal warning, Powers, Business, Consumer, Enforcement
    Type
    Page

  10. 1 August 2022

    Alliant Perpetual

    FMA issued an infringement notice to Alliant for failing to file financial statements by their due date.
    Tags
    Infringement notice, Powers, Enforcement
    Type
    Page

  11. 11 April 2016

    Stephen Duff

    Stephen Duff (also known as Nick Duff) offered, and the FMA accepted, the attached Enforceable Undertaking pursuant to section 46 of the Financial Markets Authority Act 2011. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  12. 18 December 2015

    Excelsior Markets Limited (Excelsior)

    FMA considered Excelsior's New Zealand FSP registration to be misleading. and directed that it be deregistered as an FSP.
    Tags
    Licence cancellation, Powers, Enforcement
    Type
    Page

  13. 25 June 2015

    David Ross and Ross Asset Management Limited

    The criminal proceeding brought against Mr Ross by FMA relates to allegations of breaches of the Financial Markets Act, Financial Advisers Act and Financial Service Providers Act. Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  14. 21 September 2015

    SPI Directors

    This criminal proceeding relates to allegations that Murray Alcock and Allister Knight, as Directors of SPI Capital Limited and SPI Property Limited, failed to deliver financial statements to the Registrar of Companies under ss 18(1) & 38(b) Financial Reporting Act 1993. Read more.
    Tags
    Enforceable Undertaking, Enforceable undertaking, Powers, Enforcement
    Type
    Page

  15. 12 March 2015

    MSL Capital Markets Limited

    We issued a formal warning to MSL for failing to perform its audit of its AML/CFT risk assessment and AML/CFT programme by 31 October 2014 and to provide a copy of the audit report to us.
    Tags
    AML/CFT, Enforceable action, Roles, Formal warning, AML/CFT formal warning, Powers, Business, Enforcement
    Type
    Page