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  6. 18 December 2020

    PTT Limited - High Court Decision

    High Court Judgment in the case against PTT Limited, Maxwell Foster Limited and Gibson Mcleod Limited, 18 December 2020.
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  7. 19 July 2019

    Syndicated Trusts - Stop Order

    The Stop Order issued by the FMA The Stop Order prohibits STL from certain activity, including:distributing communications and advertisements about itself or the offer of financial products,
    accepting applications or money for financial products.
    Tags
    Enforceable Undertaking, Enforcement
    Type
    PDF

  9. 6 May 2022

    The One Management GP Limited - Stop Order

    FMA confirmed it has made a stop order against The One Management GP Limited regarding an offer in relation to The One Property LP¹ (the Fund), which is only available to wholesale investors, including eligible investors. May 2022
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  10. 15 February 2023

    Validus - Interim Stop Order

    INTERIM STOP ORDER made by the Financial Markets Authority (FMA) pursuant to section 465 of the Financial Markets Conduct Act 2013 (Act), issued to Validus.
    Tags
    Enforceable action, Enforcement
    Type
    PDF

  11. 5 July 2023

    Validus - Stop Order

    FMA makes permanent stop order against Validus after appeal is dismissed in the High Court.
    Tags
    Stop Order, Enforceable undertaking, Powers, Enforcement
    Type
    PDF

  13. 28 March 2022

    The One Management GP Limited and James Law Realty - Interim Stop Order

    FMA issued an interim stop order to The One Management GP Limited and James Law Realty regarding an offer in relation to The One in Longhorn Partnership Fund (‘the Fund’), which is only open to wholesale investors, including eligible investors. 28 March 2022
    Tags
    Enforceable action, Enforcement
    Type
    PDF

  14. 29 August 2022

    Kalkine New Zealand Limited - Direction Order

    FMA directs Kalkine New Zealand Limited to stop making outgoing sales calls to people in New Zealand following concerns about the entity’s misleading marketing conduct. 10 August 2022.
    Tags
    Financial Adviser, Investigations, Roles, Business, Consumer, Enforcement
    Type
    PDF

  15. 31 August 2022

    Wisdom House and Yuen Pok (Paul) Loo - Stop Order

    The permanent stop order that applies to Wisdom House Investment Partners Limited and Yuen Pok (Paul) Loo, after they engaged in misleading and dishonest conduct, that the FMA ordered on 31 August 2022.
    Tags
    Enforceable action, Enforcement
    Type
    PDF