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Found 6277 results. Displaying page 416 of 419

1. 22 December 2021

   Medical Kiwi Limited - Enforceable Undertaking

   In August 2020, Medical Kiwi offered shares to potential investors via the online crowd funding platform PledgeMe Limited. These undertakings relate to misleading statements by Medical Kiwimade in August 2020 in relation to the Offer.

   Tags

   Enforceable Undertaking, Enforcement

   Type

   PDF

2. 7 August 2014

   Brian Peter Henry - Judgment

   Judgment in the case against Brian Peter Henry

   Tags

   Judgment, Enforcement

   Type

   PDF

3. 30 September 2022

   AIA New Zealand Ltd - Judgment

   23 September 2022 The Auckland High Court ordered life insurer AIA to pay a pecuniary penalty of $700,000 for making false and/or misleading representations to some customers.

   Tags

   Judgment, Enforcement

   Type

   PDF

4. 4 October 2021

   Du Val Group NZ Limited - Direction Order

   FMA Direction Order to Du Val Group NZ Limited, 4 October 2021.

   Tags

   Enforcement

   Type

   PDF

5. 1 May 2020

   Roger Gannon - Formal Warning

   Summary of Formal Warning issued by the FMA following an investigation into Mr Gannon, an AFA and Director of Gannon Insurance Brokers Limited, May 2020.

   Tags

   Enforcement

   Type

   PDF

6. 25 June 2020

   www.aintreefinance.com

   www.aintreefinance.com has hallmarks of a scam.

   Tags

   Suspected scam, Scams

   Type

   Page

7. 12 December 2013

   Czech National Bank (Czech Republic) - MOU

   MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Czech National Bank (Czech Republic).

   Tags

   Regulatory cooperation, FMA

   Type

   PDF, MOU

8. 12 December 2013

   Fjarmalaeftirlitio (Iceland) - MOU

   MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Fjarmalaeftirlitio (Iceland).

   Tags

   Regulatory cooperation, FMA

   Type

   PDF, MOU

9. 12 December 2013

   Bank of Luthuania - MOU

   MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Bank of Luthuania
   

   Tags

   Regulatory cooperation, FMA

   Type

   PDF, MOU

10. 12 December 2013

    Magyar Nemzeti Bank Hungary - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Magyar Nemzeti Bank Hungary

    Tags

    Regulatory cooperation, FMA

    Type

    PDF, MOU

11. 12 December 2013

    Financial Conduct Authority United Kingdom - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Financial Conduct Authority United Kingdom

    Tags

    Regulatory cooperation, FMA

    Type

    PDF, MOU

12. 15 May 2023

    NZ RegCo - MOU

    This memorandum of understanding (MOU) sets out the framework for engagement and cooperation between the FMA and NZ RegCo, which takes into account their complementary regulatory roles.

    Tags

    Regulatory cooperation, FMA

    Type

    PDF, MOU

13. 13 July 2015

    Electricity Authority - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and the Electricity Authority

    Tags

    Regulatory cooperation, FMA

    Type

    PDF, MOU

14. 21 July 2016

    Auditor General - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and the Auditor General

    Tags

    Regulatory cooperation, FMA

    Type

    PDF, MOU

15. 7 February 2018

    New Zealand Police - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and New Zealand Police

    Tags

    Regulatory cooperation, FMA

    Type

    PDF, MOU