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  1. 24 March 2011

    Bernard Whimp - Interim Stop Order

    The High Court, on application from the Securities Commission, has granted interim injunctions to stop shares being transferred to limited partnerships associated with Mr Bernard Whimp.
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    Type
    PDF

  2. 3 December 2014

    Commerce Commission v ANZ - Settlement Agreement

    Settlement Agreement made with New Zealand Commerce Commission by ANZ Bank New Zealand Limited following an investigation into interest rate swaps transactions with rural customers between 2005 and 2009. 3 December 2014.
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    Type
    PDF

  3. 24 January 2014

    Lombard - Settlement Agreement

    News release issued by PWC, 24 January 2014 about settlement agreement with the Directors of Lombard and their insurers.
    Tags
    Settlement, Enforcement
    Type
    PDF

  4. 1 December 2012

    Commerce Commission v Forsyth Barr - Settlement Agreement

    Settlement Agreement with the Commerce Commission by Forsyth Bar Limited; Forsyth Barr Group Limited; Credit Agricole Corporate and Investment Bank; Credit Sall Limited; Calyone Hong Kong Limited. December 2012.
    Tags
    Settlement, Enforcement
    Type
    PDF

  6. 28 April 2015

    Hanover - Settlement Agreement

    Settlement Agreement with the Directors' of Hanover Finance Ltd (HFL), United Finance Ltd (UFL) and Hanover Capital Limited (HCL), 28 April 2015.
    Tags
    Settlement, Enforcement
    Type
    PDF

  9. 10 October 2019

    Circle Markets Limited - Formal Warning

    Notification of a formal warning from the FMA to Circle Markets Ltd under section 80 of the Anti-money laundering and countering finance of terrorism Act 2009. 10 October 2019.
    Tags
    AML/CFT, Roles, Business, Enforcement
    Type
    PDF

  10. 20 August 2021

    Sharesies Limited - Formal Warning

    FMA issued a formal warning to Sharesies Limited and Sharesies Nominee Limited for failing to have sufficient anti-money laundering procedures, policies, and controls in place.
    Tags
    AML/CFT, Roles, Business, Enforcement
    Type
    PDF

  12. 23 November 2017

    Fullerton Markets Ltd - Warning

    Notification of a formal warning from the FMA to Fullerton Markets Ltd under section 80 of the Anti-money laundering and countering finance of terrorism Act 2009. 23 November 2017.
    Tags
    Enforcement
    Type
    PDF

  13. 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

  15. 29 September 2014

    General Equity - Order

    Order issued by the FMA against General Equity and associated persons of General Equity on 29 September 2014
    Tags
    Enforceable action, Formal warning, Powers, Enforcement
    Type
    PDF