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Found 2682 results. Displaying page 22 of 179

  1. 4 October 2021

    Avan Investment

    We are concerned that Avan Investment is involved in a scam. There are false and misleading claims on its website that Avan Investment is a member of the Investment Industry Regulatory Organization of Canada (IIROC) and is authorised and regulated by the Financial Conduct Authority (FCA). We do not believe these statements are true.
    Tags
    Suspected scam, Consumer, Scams
    Type
    Page

  2. 6 May 2010

    9999 Gold Mining Corporation

    The Securities Commission warns the public to be wary of 9999 Gold Mining Corporation who does not have a registered prospectus or investment statement for its offer of securities.
    Tags
    Suspected scam, Scams
    Type
    Page

  3. 1 July 2021

    Crowdfunding issuers

    This page covers specific obligations of crowdfunding issuers when offers are made of financial products
    Tags
    Crowdfunding providers, Offer disclosure for equity and debt offers, Roles, Business
    Type
    Page

  4. 1 July 2021

    Peer-to-peer lending borrowers

    This page covers specific obligations of peer-to-peer lending borrowers when offers of financial products are made.
    Tags
    Type
    Page

  5. 16 April 2018

    Crafters & Co. Limited and Hadleigh Petherick

    Misleading or deceptive statements regarding financial position included in an investment memorandum for Crafters & Co. Limited which was used as part of a crowdfunding campaign.
    Tags
    Suspected scam, Formal warning, Powers, Enforcement, Scams
    Type
    Page

  6. 22 June 2016

    Andrew Robinson (SPG and SPGI) and Mark Turnock (SPGI)

    The criminal proceeding brought by FMA relates to allegations of breaches of the FR Act, FA Act and FSPR Act. The Serious Fraud Office has also laid separate charges under the Crimes Act against Mr Robinson. Mr Turnock was charged under the FR Act. Read more.
    Tags
    Cases, Crimes Act, Legislation, Business, Enforcement
    Type
    Page, Financial reporting

  7. 22 August 2013

    Five Star Consumer Finance And Five Star Finance Group

    FMA alleged that the directors (Marcus Macdonald, Nicholas Kirk, Anthony Bowden, Neill Williams) made untrue statements in the investment statements and registered prospectuses of Five Star Consumer Finance Limited and offered securities (Five Star Finance and Five Star Debenture Nominee) in contravention of the Securities Act and did so without having registered a prospectus or provided investors with an investment statement. Read more.
    Tags
    Misleading statement, Breach, Enforcement
    Type
    Page

  8. 28 March 2022

    FMA issues interim stop order to The One in Longhorn Partnership Fund

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has today 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.
    Tags
    Enforceable action, Roles, Media release, Business, Managed investment schemes, News & Insights, Enforcement
    Type
    Page

  10. 17 April 2018

    Consultation opens on dual language disclosure documents

    The FMA is seeking submissions on its proposal to enable companies offering investments to publish product disclosure statements (PDS) in both te reo Māori and English.
    Tags
    Media release, Roles, Business, Market operator, News & Insights
    Type
    Page

  11. 4 February 2010

    Inertialess Drive ZPE (2010) Limited

    The Securities Commission warns people who have been invited to invest in Inertialess Drive ZPE (2010) Limited that its share offer is illegal.
    Tags
    Suspected scam, Scams
    Type
    Page

  12. 17 December 2010

    IRA NRG NZ Limited (INNL)

    The Securities Commission warns people who have been invited to invest in Inertialess Drive ZPE (2010) Limited that its share offer is illegal. 17 December 2010
    Tags
    Suspected scam, Scams
    Type
    Page

  13. 21 October 2010

    Review Highlights Need for Better Valuation Disclosure (Oct-2010)

    The Commissioner for Financial Advisers has taken the last formal step required for the introduction of the new financial advisers regulatory regime, with publication in the Gazette that 1 December 2010 will be the date on which the Code of Professional Conduct for Authorised Financial Advisers (AFAs) comes into effect.
    Tags
    Media release, News & Insights
    Type
    Page

  14. 14 March 2023

    Consultation: Proposed exemptions for foreign listed issuers from climate reporting duties

    The FMA is seeking feedback on the need for, and the content of, proposed exemptions for foreign exempt issuers from climate reporting duties by 5PM, 17 April 2023.
    Tags
    Consultations, Climate related disclosure, Ethical finance, Authorised body under a FAP, Discretionary investment management scheme (DIMS), Financial Institutions, Roles, Business
    Type
    Page

  15. 13 July 2012

    Robert Ross and Ross Investments (Aust) Pty Limited

    Ross Investments (Aust) Pty Limited and Robert Ross entered into an enforceable undertaking to include FMA statement in unsolicited offer documents made before 1 December 2012. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page