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  2. 23 April 2024

    liquidity risk management guide

    This FMA guide outlines how Managers and Supervisors can demonstrate they are effectively managing and overseeing liquidity risk.
    Tags
    Managed Investment Schemes, Supervisors, Roles, Business, Managed investment schemes
    Type
    PDF, Guidance

  4. 21 December 2023

    Financial Markets Conduct (Climate Statements – Stride Property Group) Exemption Notice 2023

    The Financial Markets Conduct (Climate Statements – Stride Property Group) Exemption Notice 2023 (Notice) exempts Stride Investment Management Limited (SIML) and Stride Property Limited (SPL), which are part of the stapled group, comprising SIML, SPL and subsidiaries of SPL (Stride Property Group or SPG) from certain provisions of Part 7A of the Financial Markets Conduct Act 2013 (Act).
    Tags
    Exemptions, Business
    Type
    Page

  6. 20 June 2023

    Financial Markets Conduct (Market Index) Exemption Notice 2023

    This exemption provides relief to managed investment scheme (MIS) managers with funds that invest, in whole or in part, in assets that do not have an appropriate market index (relevant assets) and instead allows managers to take alternative approaches.
    Tags
    Exemptions, FMC Act, Legislation, Roles, Business, Managed investment schemes
    Type
    Page

  7. 7 July 2005

    Alpine Pacific Developments Limited

    Alpine Pacific Developments Limited has offered participatory securities for subscription in conjunction with individual unit titles under the Unit Titles Act 1972 since December 2004. It has done so without a registered prospectus, investment statement or deed of participation. No allotments of the securities have yet occurred. Alpine and the directors(Neil Gurdjieff Dougan, Ernest Ross Thomson) were, at the time of the offer, unaware that the offers had been made in contravention of the Securities Act 1978. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  8. 3 November 2023

    Insider trading case involving Pushpay shares

    The FMA has filed proceedings against two individuals for alleged insider trading in relation to the sale of shares in Pushpay Holdings Limited (NZX:PPH).
    Tags
    Insider trading, Enforcement
    Type
    Page

  9. 1 August 2022

    Alliant Perpetual

    FMA issued an infringement notice to Alliant for failing to file financial statements by their due date.
    Tags
    Infringement notice, Powers, Enforcement
    Type
    Page

  11. 27 July 2015

    Green Gardens Finance Trust Limited

    The Financial Markets Authority (FMA) has issued a Stop Order against Green Gardens Finance Trust Limited (GGFT) and warns the public to be wary of doing business or depositing money with this company.
    Tags
    Stop Order, Powers, Enforcement
    Type
    Page

  12. 23 January 2015

    Notification of Warning: individual trader – market manipulation

    The Financial Markets Authority has issued a warning to an individual in relation to suspected market manipulation. Following an investigation by the FMA, it concluded that trading by the individual in question has likely breached the Securities Markets Act 1988. Read more.
    Tags
    Market manipulation, Enforcement
    Type
    Page

  13. 6 March 2014

    Prudential Mortgage Limited

    Prudential Mortgage Limited has been convicted and fined $2,000 for failing to deliver its annual report to the Registrar of Companies by 30 June 2013.
    Tags
    Court – civil, Powers, Enforcement
    Type
    Page