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  4. 12 April 2023

    Wei (Walker) Zhong and Lei (Regina) Ding - Judgment

    High Court Judgment: Wei (Walker) Zhong and Lei (Regina) Ding have been found to have contravened the Financial Markets Conduct Act 2013 in relation to the trading of Oceania Natural Limited (ONL) shares.
    Tags
    Judgment, Enforcement
    Type
    PDF

  5. 21 February 2019

    Viaduct Capital & Mutual Finance - Judgment

    High Court verdicts and reasons in the case against Paul Bublitz, Bruce McKay and Richard Blackwood, 21 February 2019.
    Tags
    Court decision, Enforcement
    Type
    PDF

  6. 5 June 2020

    Steven Robertson - Judgment

    Court of Appeal decision in the Judgment against Steven Roberson, 5 June 2020.
    Tags
    Court decision, Enforcement
    Type
    PDF

  7. 21 February 2019

    Viaduct and Mutual finance - case verdicts

    High Court case verdicts and reasons in the case against Paul Bublitz, Bruce McKay and Richard Blackwood, February 2019.
    Tags
    Judgment, Enforcement
    Type
    PDF

  8. 18 December 2012

    Forsyth Barr - Settlement Agreement

    Settlement Agreement with Credit Agricole Corporate and Investment Bank; Credit Sail Limited; Calyon Hong Kong Limited; Forsyth Barr Limited and Forsyth Barr Group Limited, 12 December 2012.
    Tags
    Settlement, Enforcement
    Type
    PDF

  9. 16 February 2015

    Westpac - Settlement Agreement

    Settlement agreement with Westpac New Zealand Limited; Westpac Banking Corporation regarding interest rate swaps sales to certain rural customers, 16 February 2015.
    Tags
    Settlement, Enforcement
    Type
    PDF

  10. 1 December 2012

    Commerce Commission v Forsyth Barr - Settlement Agreement

    Settlement Agreement with the Commerce Commission by Forsyth Bar Limited; Forsyth Barr Group Limited; Credit Agricole Corporate and Investment Bank; Credit Sall Limited; Calyone Hong Kong Limited. December 2012.
    Tags
    Settlement, Enforcement
    Type
    PDF

  11. 25 November 2020

    ANZ - Settlement Agreement

    Settlement Agreement with ANZ Bank New Zealand Limited, 25 November 2020.
    Tags
    Settlement, Enforcement
    Type
    PDF

  12. 13 December 2021

    Squirrel P2P Trustee Limited - Public Warning

    Public warning issued under Section 9 of the Financial Markets Authority Act 2011 regarding Squirrel P2P Trustee Limited, FSP 415167. 13 December 2021.
    Tags
    Enforcement
    Type
    PDF

  13. 12 December 2013

    Financial Supervision Commission of Bulgaria - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Financial Supervision Commission of Bulgaria.
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  14. 12 December 2013

    Cyprus Securities and Exchange Commission - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Cyprus Securities and Exchange Commission.
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  15. 12 December 2013

    Czech National Bank (Czech Republic) - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Czech National Bank (Czech Republic).
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU