Search results


Found 3698 results. Displaying page 212 of 247

  1. 5 April 2012

    FMA welcomes Bridgecorp verdicts

    Justice Venning found Rodney Petricevic and Robert Roest guilty on charges of breaching the Crimes Act 1961, the Companies Act 1993, and the Securities Act 1978 and found Peter Steigrad guilty on charges of breaching the Securities Act 1978. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page
  2. 1 December 2019

    Financial Markets Conduct (Disclosure of Relevant Interests by Directors & Senior Managers) Exemption Notice 2019

    The Financial Markets Conduct (Disclosure of Relevant Interests by Directors and Senior Managers) Exemption Notice 2019 continues the relief granted in the Financial Markets Conduct (Disclosure of Relevant Interests by Directors and Senior Managers) Exemption Notice 2014, which is revoked at the close of 30 November 2019.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page
  3. 19 December 2019

    DBS Securities Limited

    We have received a complaint from a NZ investor who invested funds with Glen Hamilton & Partners LLC in 2017 after receiving an unsolicited cold call.
    Tags
    Suspected scam, Scams
    Type
    Page
  4. 29 November 2019

    Financial Markets Conduct (NZCDC Settlement System) Exemption Notice 2019

    The Financial Markets Conduct (NZCDC Settlement System) Exemption Notice 2019 continues the relief granted in Financial Markets Conduct (NZCDC Settlement System) Exemption Notice 2014, which is revoked at the close of 30 November 2019.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page
  5. 19 December 2019

    Glenn Hamilton & Partners LLC

    We are concerned the operations of both entities indicates they are both associated in the operation of a scam.
    Tags
    Suspected scam, Scams
    Type
    Page
  6. 22 December 2020

    Privacy Statement

    The Financial Markets Authority is committed to ensuring your privacy is protected. Read our Privacy policy here.
    Tags
    Type
    Page
  7. 7 August 2014

    Brian Henry admits market manipulation

    Brian Peter Henry has admitted all of the FMA's allegations that he breached the market manipulation prohibitions in the Securities Markets Act 1988. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page
  8. 17 March 2011

    Commission Warns About More Unsolicited Offers

    The Securities Commission is alerting investors to be wary of further unsolicited offers from NZ Investment Securities LP for Vector Limited shares and Carlyle Securities LP for Contact Energy shares.
    Tags
    Scams
    Type
    Page
  9. 31 August 2022

    Securities Act (Amalgamations)

    Securities Act (Amalgamations) - expired exemption notice
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page
  10. 4 August 2016

    Work to do on corporate governance disclosure, FMA finds

    The FMA has completed a review of corporate governance disclosures by 45 companies, listed and unlisted. Good corporate governance is one of the FMA’s strategic priorities because it is an important contributor to transparency and efficiency in capital markets. In 2014 the FMA published a Corporate Governance Handbook comprising nine corporate governance principles.
    Tags
    Directors, Governance, Reports and Papers, Roles, Media release, Business, FMA, News & Insights
    Type
    Page, Guidance
  11. 9 May 2017

    IMF NZ FSAP Assessment 2017

    The FMA welcomes the publication of the International Monetary Fund’s Financial System Stability Assessment (FSSA) for New Zealand.
    Tags
    Governance, Media release, FMA, News & Insights
    Type
    Page
  12. 31 May 2016

    Forsyth Barr Investment Management Limited

    Forsyth Barr Investment Management Limited, FSP25021, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page