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Found 2363 results. Displaying page 120 of 158

  1. 28 August 2014

    Consultation Paper: SIPOs and Limit Breaks

    In August/September 2014, the FMA consulted on SIPOs and Limit Breaks. 21 submissions were received. A summary of the submission feedback can be downloaded here.
    Tags
    Consultations, Roles, Business, Managed investment schemes
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    Page

  2. 16 April 2018

    Crafters & Co. Limited and Hadleigh Petherick

    Misleading or deceptive statements regarding financial position included in an investment memorandum for Crafters & Co. Limited which was used as part of a crowdfunding campaign.
    Tags
    Suspected scam, Formal warning, Powers, Enforcement, Scams
    Type
    Page

  3. 14 April 2021

    FMA expects KiwiSaver managers to follow four key principles to show value for money

    Fund managers are expected to annually review their fees and value for money with their supervisors and prove to the Financial Markets Authority (FMA) the review has happened, as a result of final guidance on fund manager fees and value for money, published today (14/4/2021).
    Tags
    KiwiSaver providers, Managed funds, Media release, Roles, Ways to invest, Investing, Business, Consumer, Managed investment schemes, News & Insights
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    Page

  4. 14 July 2021

    FMA issues infringement notice to Equitise

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has issued an infringement notice to equity crowdfunding service provider Equitise Pty Ltd for failing to file financial statements by their due date.
    Tags
    Crowdfunding providers, Enforceable action, Roles, Media release, Business, News & Insights, Enforcement
    Type
    Page

  5. 7 October 2021

    FMA directs Du Val to remove misleading advertising

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has directed property development and investment company Du Val to remove advertising materials likely to mislead or deceive investors.
    Tags
    Roles, Offer disclosure for equity and debt offers, Media release, Business, Managed investment schemes, News & Insights, Enforcement
    Type
    Page

  6. 29 September 2021

    FMA appoints Karen Chang as Acting General Counsel

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has appointed its current Head of Enforcement, Karen Chang, as Acting General Counsel until the FMA’s new Chief Executive joins next year.
    Tags
    FMA people, Media release, FMA, News & Insights
    Type
    Page

  7. 30 September 2021

    FMA steps up enforcement of anti-money laundering breaches

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has escalated its enforcement approach to non-compliance with New Zealand’s anti-money laundering and countering financing of terrorism (AML/CFT) rules, according to a new report.
    Tags
    AML/CFT, Roles, Reporting entities, Media release, Business, News & Insights, Enforcement
    Type
    Page

  8. 10 November 2021

    Auditors respond well to challenges presented by COVID-19

    Auditors have responded well to financial reporting challenges presented by the pandemic, according to the Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko Audit Quality Monitoring Report for 2020/21.
    Tags
    Roles, Auditors, COVID-19, Media release, Business, News & Insights
    Type
    Page

  9. 26 January 2022

    First ‘investment passport’ under the ARFP granted to NZ fund manager

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has approved Smartshares Limited as a passport fund under the Asia Region Funds Passport (ARFP).
    Tags
    Asia Region Funds Passport Register, Roles, Media release, Business, Managed investment schemes, News & Insights
    Type
    Page

  10. 22 October 2022

    iPartners DBG

    iPartners Designated Business Group
    Tags
    Roles, Business, Designated Business Group (DBG)
    Type
    Page

  11. 13 July 2017

    Anthony Norman Wilson

    Wilson admitted three charges of making a false document for pecuniary advantage and one charge of dishonestly using a document for pecuniary advantage. Read more.
    Tags
    Cases, Court – criminal, Powers, Enforcement
    Type
    Page

  14. 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

  15. 30 April 2010

    Corman Oil Limited

    Corman Oil Limited appealed to Securities Commission against a decision of Registrar of Companies to refuse registration of Corman Oil Limited prospectus dated 2 February 2010, in accordance with section 42 of the Securities Act 1978. Read more.
    Tags
    Misleading statement, Breach, Enforcement
    Type
    Page