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  1. 24 September 2020

    Thinking beyond shareholders

    Presentation by Rob Everett at the NZ Capital Markets Forum, March 2019
    Tags
    Directors, Roles, Business
    Type
    Page

  2. 11 September 2014

    Directors fined for not filing financial statements

    Directors Hayden George Jones and Thomas Alexander George Jones have been fined $35,000 each for breaches of the Financial Reporting Act 1993. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  3. 17 December 2015

    Consultation paper: Proposed exemptions for existing property schemes

    Consultation paper: Proposed exemptions for existing property schemes. We are considering possible exemptions to address some of the issues faced by existing property schemes or syndicates in complying with certain requirements under the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Client money or property services provider, Consultations, Exemptions, Roles, Business
    Type
    Page

  4. 3 December 2021

    Silver Harbour Capital Limited

    Silver Harbour Capital Limited (FSP771198) is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  5. 8 September 2014

    FMA talking investment risk for Money Week

    The Financial Markets Authority (FMA) has announced its plans for this year's Money Week from October 13-19 2014. The FMA will be hosting a panel discussion to promote greater understanding of investment risk.
    Tags
    Media release, Consumer, News & Insights
    Type
    Page

  8. 11 October 2017

    FMA files insider trading charges

    The FMA has filed criminal charges against an individual in the Auckland District Court alleging insider trading in contravention of the Securities Markets Act 1988. Read more.
    Tags
    Insider trading, Media release, Cases, News & Insights, Enforcement
    Type
    Page

  9. 30 April 2015

    First Mortgage Managers Limited

    First Mortgage Managers Limited, FSP31642, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  12. 14 April 2015

    Better information for investors as new disclosure documents take shape

    Information for investors will now be provided in a format that is easier-to-understand and more accessible than before. The way that financial products are made available to the public has been overhauled under the FMC Act. The first New Zealand financial products to be offered under the new regulations have started to appear on the ‘Disclose’ website this month.
    Tags
    Media release, Consumer, News & Insights
    Type
    Page

  14. 21 August 2015

    Polson Higgs Wealth Management Limited

    Polson Higgs Wealth Management Limited, FSP26381, is licensed to provide Discretionary Investment Management Services (DIMS).
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page

  15. 4 April 2016

    Fisher Funds Management Limited

    Fisher Funds Management Limited, FSP38581, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page