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Found 2574 results. Displaying page 157 of 172

  1. 25 March 2024

    CBL managing director Peter Harris admits continuous disclosure and fair dealing contraventions and agrees Enforceable Undertaking

    The FMA has reached agreement with former CBL Corporation Limited (In Liquidation) (CBLC) managing director Peter Harris on claims relating to continuous disclosure breaches and misleading conduct (the Continuous Disclosure Proceeding). 
    Tags
    Media release, Enforceable undertaking, Powers, Financial Institutions, Business, News & Insights, Enforcement
    Type
    Page

  2. 31 January 2024

    People & leadership

    Welcome to the FMA. This page introduces the FMA's executive leadership team and staff policies.
    Tags
    FMA executive team, FMA
    Type
    Page

  3. 19 January 2012

    FMA and SFO sign Memorandum of Understanding

    The Financial Markets Authority (FMA) and the Serious Fraud Office (SFO) have signed a Memorandum of Understanding (MOU) which will enhance their already close working relationship and drive greater efficiencies between the two agencies.
    Tags
    Media release, FMA, News & Insights
    Type
    Page

  4. 31 July 2015

    FMA files civil proceedings against portfolio manager for alleged market manipulation

    The Financial Markets Authority (FMA) has issued civil proceedings in the High Court seeking pecuniary penalties against Mr Mark Warminger for trading carried out while employed by Milford Asset Management Limited (Milford). The trading occurred between December 2013 and August 2014.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  5. 22 July 2011

    FMA makes three appointments to strategic leadership team

    The Financial Markets Authority has strengthened its strategic leadership team with three appointments to key positions in support of Chief Executive Sean Hughes.
    Tags
    Media release, FMA, News & Insights
    Type
    Page

  6. 3 April 2017

    FMA confirms short-term derivatives to be licensed

    The Financial Markets Authority has today confirmed that businesses selling short-duration derivatives need to be licensed. The Financial Markets Conduct Act introduced licensing for derivatives issuers in December 2014.
    Tags
    Derivatives, Ways to invest, Investing, Media release, Consumer, News & Insights
    Type
    Page

  7. 22 December 2010

    New Conditions for Qualifying Financial Entities

    The Securities Commission has published the standard conditions Qualifying Financial Entities (QFEs) will need to abide by when their employees and representatives give financial advice.
    Tags
    Media release, News & Insights
    Type
    Page

  8. 11 June 2015

    New roles within the FMA executive team

    The Financial Markets Authority (FMA) has made the following appointments to its executive team effective 1 July 2015.
    Tags
    FMA executive team, Governance, Media release, FMA, News & Insights
    Type
    Page

  9. 27 September 2017

    FMA publishes annual report 2017

    The Financial Markets Authority (FMA) published its annual report today for the financial year ending June 30 2017. This highlights two key developments for the FMA; a Government review confirming increased funding and the IMF’s Financial System Stability Assessment.
    Tags
    Governance, Media release, FMA, News & Insights
    Type
    Page

  11. 28 April 2020

    Exemptions grant temporary relief from some reporting deadlines

    FMA has granted two class exemption notices to provide market participants with an additional two months to provide their audited financial statements and comply with certain other regulatory requirements. Due to the disruption caused by COVID-19, the FMA is taking appropriate steps to provide regulatory relief.
    Tags
    COVID-19, News & Insights
    Type
    Page, Financial reporting

  12. 18 June 2015

    Milford Asset Management to pay $1.5 million following FMA investigation

    The FMA has reached an agreement with Milford to resolve the issues relating to Milford (but excluding the trader) arising from the investigation, under which Milford has agreed to make payments totalling $1.5m. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  15. 28 July 2015

    FMA’s Capital + Merchant Finance civil proceedings discontinued

    The FMA has discontinued its civil proceedings against the directors of Capital + Merchant Finance Limited. FMA considers that further time and cost of pursuing the civil proceeding would not be justified or in the public interest. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page