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  1. 11 November 2014

    Directors of SPI companies agree to enforceable undertakings

    Murray Rex Alcock and Allister Ronald Knight (the Directors), of the various entities comprising the SPI group of companies (including SPI Property Fund Limited), have provided enforceable undertakings to the FMA. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  2. 12 March 2013

    Home detention for National Finance director

    National Finance director Anthony Banbrook has today been sentenced to eight and a half months' home detention and ordered to pay $75,000 in reparations in a prosecution taken by the FMA. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  3. 15 June 2011

    FMA issues interim order against GFNZ Group

    The Financial Markets Authority has made an interim order to stop allotment of securities by GFNZ Group Limited (formerly known as Geneva Finance Limited).
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  8. 31 August 2022

    OLDERSHAW & CO (WEALTH) LTD

    OLDERSHAW & CO (WEALTH) LTD is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  9. 16 November 2017

    US International Investment Trade Authority

    The US International Investment Trade Authority is falsely claiming to be a financial services regulator and endorsing products and services from questionable sources.
    Tags
    Fake regulator, Scams
    Type
    Page

  10. 1 November 2018

    Zend Trade

    We are concerned Zend Trade has the characteristics of a scam, including offering unrealistic returns and withholding client funds.
    Tags
    Suspected scam, Scams
    Type
    Page

  11. 18 November 2016

    Financial Markets Conduct (Incidental Offers) Exemption Notice 2016

    Every issuer (A), and every holder of financial products issued by A, is exempted from Parts 3 and 4 of the Act in respect of an offer of any financial products of which A is the issuer if certain conditions are met. Expired.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  12. 8 February 2017

    FMA lays charges under the Crimes Act

    An individual registered financial adviser appeared in the Auckland District Court yesterday in relation to various charges laid by the FMA under the Crimes Act.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  15. 16 July 2007

    Order of St John

    Order of St John is a KiwiSaver exempt employer
    Tags
    Type
    Page