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Found 2764 results. Displaying page 181 of 185

  5. 21 November 2023

    Financial Markets Conduct (Portfolio Superannuation Scheme) Exemption Notice 2023

    The Notice exempts Saturn Invest New Zealand (Saturn) as manager of the Portfolio Superannuation Scheme (the self-select scheme) from certain provisions of the Financial Markets Conduct Act 2013 (the FMC Act), the Financial Markets Conduct Regulations 2014 (the FMC Regulations), and the Financial Markets Conduct (Fees) Regulations 2014.
    Tags
    Exemptions, Business
    Type
    Page, Current, Financial Markets Conduct Act exemptions, Exemption notice

  7. 21 November 2023

    Financial Markets Conduct (i-Select Superannuation Scheme) Exemption Notice 2023

    The Notice exempts i-Select Limited (i-Select) as manager of the i-Select Superannuation Scheme (the self-select scheme) from certain provisions of the FMC Act, the FMC Regulations, and the Financial Markets Conduct (Fees) Regulations 2014.
    Tags
    Exemptions, Business
    Type
    Page, Exemption notice, Current, Financial Markets Conduct Act exemptions

  8. 18 October 2023

    Financial Markets Conduct (Product Disclosure Statements in Te Reo Māori and English) Exemption Notice 2023

    The Financial Markets Conduct (Product Disclosure Statements in Te Reo Māori and English) Exemption Notice 2023 provides an exemption for issuers of financial products who wish to provide their PDS in both te reo Māori and English, providing relief from the requirements in the FMC Regulations relating to the prescribed length limits and, if necessary, some prescribed statements and formatting.
    Tags
    Exemptions, Business
    Type
    Page

  9. 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

  10. 22 June 2010

    ANZN and ING

    As part of this settlement ING and ANZN have accepted that some of the representations made in marketing material and by ANZ advisors may have breached the Fair Trading Act and they have agreed to make payments totalling $45 million to affected investors. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  11. 7 July 2005

    Braemar Lodge 2004 Limited

    Braemar Lodge 2004 Limited offered participatory securities for subscription in conjunction with individual unit titles under the Unit Titles Act 1972 without a registered prospectus, investment statement or deed of participation. Braemar 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

  12. 5 March 2007

    Huka Falls Resort Ltd

    The Huka Falls Resort Limited and the Director(Patrick Marinus Fontein) accepted that Securities have been offered to the public for subscription, without a registered prospectus or an investment statement, in contravention of the requirements of the Securities Act 1978 and the Securities Regulations 1983. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  13. 5 March 2007

    Kensington Park Properties Ltd

    The Kensington Park Properties Limited and the Directors(Patrick Marinus Fontein, Allan Graham Clarke) accepted that Securities have been offered to the public for subscription, without a registered prospectus or an investment statement, in contravention of the requirements of the Securities Act 1978 and the Securities Regulations 1983. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  14. 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

  15. 8 February 2024

    Wisdom House Investment Partners Limited

    FMA filed criminal charges against Yuen Pok (Paul) Loo of Wisdom House following offences under financial markets legislation. View the history and progress of the case on this page.
    Tags
    Stop Order, Powers, Licence cancellation, Financial Advice Provider, Financial Adviser, Roles, Court – criminal, Business, Enforcement
    Type
    Page