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  1. 13 December 2011

    Kiwi Finance Limited

    This undertaking by Kiwi Finance directors(Rhys Anthony Greensill, Rodney Seymour Roberts Greensill, Barry Noel Lambert and Christopher Bruce Simkin) was accepted by FMA to conclude its civil claim investigations after Kiwi Finance went into receivership in April 2008. It resulted in full restitution of investors' funds, together with an enforceable undertaking from the Directors. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  2. 11 October 2023

    Kiwibank

    The FMA filed High Court civil proceedings against Kiwibank for making false and/or misleading representations, under the fair dealing provisions of the Financial Markets Conduct Act (FMC Act). Read the case timeline on this page.
    Tags
    Cases, Court – civil, Powers, Enforcement
    Type
    Page

  3. 25 July 2015

    Capital + Merchant Finance Limited (CMF)

    FMA laid criminal charges and civil proceedings against five directors of CMF, Neal Nicholls, Owen Tallentire, Colin Ryan, Wayne Douglas and Robert Sutherland, under the Securities Act. These charges related to untrue statements in offer documents distributed in 2006. Read more.
    Tags
    Court – civil, Powers, Enforcement
    Type
    Page

  4. 26 February 2015

    Belgrave Finance Limited

    Belgrave directors Stephen Charles Smith and Shane Joseph Buckley, and associate Raymond Tasman Schofield were convicted on representative charges brought by the FMA under the Securities Act, the Companies Act and Crimes act along with their legal advisor Hugh Edward Staples Hamilton. Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  5. 25 May 2015

    Pacific Edge Limited

    FMA issued warning on continuous disclosure obligations and secures $500,000 compensation payment from Pacific Edge Limited.
    Tags
    Settlement, Enforcement
    Type
    Page

  6. 31 July 2023

    FMI Standards

    FMI standards for designated Financial Market Infrastructures.
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  7. 31 July 2023

    Standard 1 Legal Basis

    Standard 1 Legal basis for designated Financial Market Infrastructures (FMIs).
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  8. 31 July 2023

    Standard 10 Physical deliveries

    Standard 10 Physical deliveries for designated Financial Market Infrastructures (FMIs).
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  10. 31 July 2023

    Standard 15 General business risk

    Standard 15 General business risk for designated Financial Market Infrastructures (FMIs).
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  11. 31 July 2023

    Standard 17C Cyber resilience

    Standard 17C Cyber resilience for designated Financial Market Infrastructures (FMIs).
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  12. 31 July 2023

    Standard 4 Credit risk

    Standard 4 Credit risk for designated Financial Market Infrastructures (FMIs).
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  13. 31 July 2023

    Standard 6 Margin

    Standard 6 Margin for designated Financial Market Infrastructures (FMIs).
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  14. 31 July 2023

    Standard 7 Liquidity risk

    Standard 7 Liquidity risk for designated Financial Market Infrastructures (FMIs).
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  15. 31 July 2023

    Standard 21 Efficiency and effectiveness

    Standard 21 Efficiency and effectiveness for designated Financial Market Infrastructures (FMIs).
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF