Back

Search results

Found 2682 results. Displaying page 23 of 179

  1. 26 February 2015

    Belgrave Finance Limited

    Belgrave directors Stephen Charles Smith and Shane Joseph Buckley, and associate Raymond Tasman Schofield were convicted on representative charges brought by the FMA under the Securities Act, the Companies Act and Crimes act along with their legal advisor Hugh Edward Staples Hamilton. Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page
    • Cases

    20 May 2024

    Rangi Savage

    FMA filed civil proceedings against Rangi Wyatt Stephen Savage for making an unregulated public offer for the sale of shares in The Powder Shed Tokoroa Limited (Powder Shed).
    Tags
    Cases, Enforcement
    Type
    Page

  3. 12 April 2022

    Licensing – hurdle or an opportunity?

    Speaking notes from a presentation by FMA Director of Market Engagement and Acting Director of Regulation John Botica to a webinar audience of Financial Advice Providers and financial advisers, organised by the Strategi Group on April 07, 2022.
    Tags
    Financial Advice Provider, Financial Adviser, Licensing & registration, Roles, Speeches and presentations , Business, News & Insights
    Type
    Page

  4. 9 April 2019

    Former CFO to pay $150,000, barred for Securities Markets Act breaches

    Mr Talbot has admitted to insider trading conduct and entered a guilty plea on a representative charge for a breach of disclosure obligations at Auckland High Court last month. Read more
    Tags
    Cases, Insider trading, Media release, News & Insights, Enforcement
    Type
    Page

  5. 11 June 2021

    Temporary extension for certain reporting deadlines

    The FMA is providing temporary relief to eligible entities a one-month extension to file their audited financial statements and comply with certain related reporting deadlines. The relief is available for eligible entities with balance dates between 31 March 2021 and 31 December 2021. Some conditions apply.
    Tags
    COVID-19, News & Insights
    Type
    Page, Financial reporting

  6. 9 September 2021

    ‘No action’ relief as a result of COVID-19

    COVID-19 is having a significant impact on many market participants. We recognise that this may lead to practical difficulties which affect their ability to meet their regulatory obligations. Where a market participant breaches, or expects to breach, a regulatory obligation as a result of the COVID-19 circumstances and seeks relief from the FMA, the primary approach we intend to take is ‘no-action’.
    Tags
    COVID-19, News & Insights
    Type
    Page

  8. 31 August 2022

    MORTGAGE HOLDINGS LIMITED

    MORTGAGE HOLDINGS LIMITED is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  9. 11 May 2015

    Zagga Limited

    Zagga Limited (previously Lendme Limited), FSP393946, is licensed to provide peer-to-peer lending service.
    Tags
    Peer-to-peer lending service providers, Licensed entity, Roles, Business
    Type
    Page

  15. 19 December 2018

    ZonggangCaifu

    ZonggangCaifu is not registered, licensed, or regulated in New Zealand as claimed on its websites.
    Tags
    Suspected scam, Scams
    Type
    Page