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Found 2682 results. Displaying page 14 of 179

  4. 14 May 2014

    FMA seeks comments on proposed class exemption to apply to initial public offers

    Consultation paper: FMA seeks comments on proposed class exemption to apply to initial public offers. The Financial Markets Authority (FMA) is planning to consult on a proposed class exemption for firms making initial public offers (IPOs). Read more.
    Tags
    Offer information, Consultations, Exemptions, Business
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  5. 8 July 2022

    FMA appoints Margot Gatland to Head of Enforcement

    FMA has confirmed the appointment of Margot Gatland as its new Head of Enforcement. Ms Gatland was previously the Acting Head of Enforcement at the FMA.
    Tags
    FMA executive team, FMA people, FMA
    Type
    Page

  9. 15 September 2022

    FMA Investor Profile – Sev Ozan

    Our latest Investor Profile is on Sev Ozan, a multi-hyphenate who has an active interest in investing.
    Tags
    Ways to invest, Shares, Investing, Article, Consumer, News & Insights
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    Page

  10. 23 August 2022

    Banks and insurers have work cut out with CoFI

    Clare Bolingford outlines what banks, insurers and non-bank deposit takers need to do to prepare for the CoFI regime.
    Tags
    Banking, Insurance Providers, Opinion, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Business, News & Insights
    Type
    Page

  11. 22 December 2020

    Rodney McCall and Morgan Cooper Limited

    The FMA alleges Mr McCall contacted people and convinced them to ‘invest’ by transferring money into bank accounts he controlled. After incorporating a company, Morgan Cooper Limited, he further cold-called other investors to promote a foreign exchange investment service which did not exist.
    Tags
    Court – criminal, Powers, Enforcement
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    Page

  12. 6 June 2019

    Morgan DeVere Corporate Finance Limited and director Rene Moorby

    These charges relate to Morgan DeVere Corporate Finance Limited and Director Rene Moorby for breaches of the Financial Service Providers (Registration and Dispute Resolution) Act.
    Tags
    Court – criminal, Powers, FSPR abuse, Enforcement
    Type
    Page

  13. 6 July 2018

    Garry James Patterson

    The FMA has filed charges against Garry James Patterson alleging he was or was holding out as being, in the business of providing financial services in contravention of the Financial Service Providers (Registration and Dispute Resolution) Act 2008 (FSP Act). Read more.
    Tags
    Enforcement
    Type
    Page