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  1. 28 November 2018

    Brian John Ferguson (FSP155185)

    Mr Ferguson (FSP155185) contravened section 34 of the Financial Advisers Act 2008 (FA Act) by copying and pasting client signatures in insurance policy documents.
    Tags
    Scams
    Type
    Page

  11. 28 February 2013

    FMA signals its compliance focus for 2013

    The Financial Markets Authority (FMA) has released its compliance focus for 2013 which outlines FMA's priority areas for monitoring and surveillance over the next year.

    Tags
    Media release, News & Insights
    Type
    Page

  12. 8 June 2015

    $10m settlement on Dominion Finance secured by FMA and liquidators and receivers

    The FMA together with the liquidators of Dominion Finance Group (DFG) and the receivers of North South Finance (NSF), reached a settlement pursuant to which $10.235m will be paid to liquidators and receivers for distribution in the receivership. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page