Back

Search results

Found 1229 results. Displaying page 38 of 82

  1. 27 May 2022

    Financial Markets Conduct (Stride Property Group) Exemption Notice 2022

    The Financial Markets Conduct (Stride Property Group) Exemption Notice 2022 allows Stride Property Limited (SPL) and Stride Investment Management Limited Stride (SIML), as stapled entities (Stride Property Group), to prepare consolidated financial statements for the purposes of subpart 3 of Part 7 of the Financial Markets Conduct Act 2013 (the Act).
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  2. 11 April 2017

    Consultation paper: Improving financial information in an equity PDS

    Consultation paper: Improving financial information in an equity PDS. Guidance for equity issuers on how to disclose financial information in product disclosure statements (PDS) in a clear, concise and effective manner.
    Tags
    Cryptocurrencies, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Consultations, Roles, Business
    Type
    Page

  3. 3 July 2018

    Disclosure of significant accounting estimates

    This information sheet explains our expectations on disclosure of significant accounting estimates. It is part of our work on improving the overall quality of information being disclosed in financial statements.
    Tags
    Monitoring, Business
    Type
    PDF, Information Sheet

  4. 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

  5. 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

  6. 29 September 2014

    General Equity

    Misleading and deceptive statements.
    Tags
    Suspected scam, Scams
    Type
    Page

  7. 30 June 2016

    Apple Fields Limited - Justin Prain and Mark Schroeder

    FMA brought charges against directors of Apple Fields Limited (Apple Fields) for breaches of the Financial Reporting Act 1993, by not filing financial statements for three years (2011, 2012 and 2013).
    Tags
    Financial reporting breaches, Breach, Enforcement
    Type
    Page

  8. 8 June 2015

    Dominion Finance Group and North South Finance

    Securities Commission alleged that the directors made false statements in the Dominion Finance Group registered prospectus dated 13 September 2007, as amended by an extension certificate 20 December 2007 and the North South Finance registered prospectus dated 11 September 2007, as amended by an extension certificate 20 December 2007. Read more.
    Tags
    Misleading statement, Breach, Enforcement
    Type
    Page

  9. 22 August 2013

    Five Star Consumer Finance And Five Star Finance Group

    FMA alleged that the directors (Marcus Macdonald, Nicholas Kirk, Anthony Bowden, Neill Williams) made untrue statements in the investment statements and registered prospectuses of Five Star Consumer Finance Limited and offered securities (Five Star Finance and Five Star Debenture Nominee) in contravention of the Securities Act and did so without having registered a prospectus or provided investors with an investment statement. Read more.
    Tags
    Misleading statement, Breach, Enforcement
    Type
    Page

  10. 1 February 2013

    NZ finance company collapses (2006–2012)

    The scale and circumstances of the Finance industry failure since 2006 gave rise to concerns of inappropriate behaviour and breaches of the Securities Act and a programme of investigations into the failures was initiated. Read more.
    Tags
    Type
    Page

  11. 16 August 2019

    Viaduct Capital & Mutual Finance

    Paul Bublitz was found guilty of four charges of theft by a person in a special relationship and two charges of false statement by a promoter. He was sentenced to 3 years two months imprisonment for each of the charges, to be served concurrently. Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  12. 20 May 2016

    Cambrian Corporation Limited

    The FMA has ordered a foreign exchange educator Cambrian to change its marketing materials on the basis that they were misleading or deceptive, and it had made unsubstantiated statements about its services.
    Tags
    Enforcement
    Type
    Page

  13. 12 March 2014

    Bridgecorp and Bridgecorp Investments (BIL)

    FMA alleged that the directors( Rodney Petricevic, Robert Roest, Bruce Davidson, Gary Urwin and Peter Steigrad) made untrue statements in the investment statements and registered prospectuses, prospectus extension certificates of Bridgecorp and BIL. They also made other false or misleading statements in Bridgecorp and BIL documents. Read more.
    Tags
    Enforcement
    Type
    Page

  14. 30 October 2018

    Pacific Eagle Capital (PEC)

    The Financial Markets Authority (FMA) has issued an infringement notice to Pacific Eagle Capital (PEC) for failing to file financial statements by its due date. Read more.
    Tags
    Infringement notice, Powers, Enforcement
    Type
    Page

  15. 11 September 2014

    Hayden and George Jones

    This criminal proceeding relates to allegations that Hayden and George Jones, as Directors of Heritage Park Taupo Limited and Heritage Park Investments Limited, failed to deliver financial statements to the Registrar of Companies under ss 18(1) & 38(b) Financial Reporting Act 1993.
    Tags
    Enforcement
    Type
    Page