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  1. 16 May 2014

    Finance company legal adviser found guilty of fraud

    Hugh Edward Staples Hamilton (62) has been found guilty at the Auckland High Court of 14 charges arising out of the collapse of Belgrave Finance Limited. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  2. 15 November 2013

    David Ross sentenced for New Zealand’s largest ever Ponzi

    David Robert Gilmour Ross (63) has been sentenced in the Wellington District Court to 10 years and 10 months of imprisonment following a joint agency investigation by the SFO and the FMA. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  6. 1 February 2011

    Commission Takes Action Against Insured Group

    The Securities Commission has commenced civil proceedings against Insured Group Limited, formerly known as Lombard Group Limited, in relation to alleged breaches in 2007 and 2008 of the continuous disclosure provisions of the Securities Markets Act 1988. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  7. 19 December 2019

    DBS Securities Limited

    We have received a complaint from a NZ investor who invested funds with Glen Hamilton & Partners LLC in 2017 after receiving an unsolicited cold call.
    Tags
    Suspected scam, Scams
    Type
    Page

  8. 15 July 2016

    Archer Capital (Pty) Limited (Archer) and Healthcare Industry Limited (HIL)

    FMA initiated civil proceedings against Archer Capital (Pty) Limited and Healthcare Industry Limited (HIL) for alleged breaches of the substantial shareholder disclosure obligations contained in the Securities Markets Act 1988, in relation to shares in Abano Healthcare Group Limited (Abano). Read more.
    Tags
    Court – civil, Powers, Enforcement
    Type
    Page

  9. 14 August 2017

    Mrtmarkets

    MrtMarkets, 10Broker, KHO TECH Ltd, AF Technologies and Nostro Technology OU are not registered to provide financial services in New Zealand
    Tags
    Unregistered business, Investor warning, Consumer, Scams
    Type
    Page

  10. 21 April 2021

    Advertising phenomenal investment returns for the last year could mislead investors, FMA says

    The Financial Markets Authority (FMA) is warning the funds management industry to avoid advertising large investment returns for the 12-month period to March 31, 2021, as this could mislead investors.
    Tags
    Media release, KiwiSaver providers, Managed funds, Roles, Ways to invest, Investing, Business, Consumer, Managed investment schemes, News & Insights
    Type
    Page

  11. 20 February 2020

    FMA Debate discusses whether passive or active management is best

    Leaders from New Zealand’s investment industry gathered in Auckland last night (19 Feb 2020) to debate whether investors benefit more from passive or active fund management, a topic that is dividing the sector.
    Tags
    Media release, Managed funds, Campaigns, Ways to invest, Investing, Consumer, News & Insights
    Type
    Page

  12. 13 February 2015

    Action against non-filing of financial statements pays off

    A new report released today by FMA shows the proportion of companies filing their financial statements on time has improved significantly since the FMA’s initial review in 2014.
    Tags
    Media release, News & Insights
    Type
    Page

  14. 20 September 2023

    KiwiSaver holds firm through volatility and reaches $94BN in March 2023

    The FMA’s latest KiwiSaver Annual report for the year to 31 March shows that KiwiSaver has held firm through a continuing period of market volatility. Total funds in KiwiSaver have grown again this year, by $4 billion, due to contributions of $10.5bn from members, employers, and government.
    Tags
    Media release, News & Insights
    Type
    Page

  15. 14 December 2023

    SGX-DT review report

    Findings from the FMA’s reviews of how well Singapore Exchange Derivatives Trading Limited (SGX-DT) is meeting its market operator obligations under the FMC Act 2013.
    Tags
    Reports and Papers, Roles, Derivative Issuer, Business, News & Insights, Market operator
    Type
    Page