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Found 2682 results. Displaying page 43 of 179

23 October 2019

Exemption Notice - Obsidian Contributory Mortgage Scheme

Financial Markets Conduct Exemption Notice 2019: Obsidian Contributory Mortgage Scheme.

Tags

Exemptions, Business

Type

PDF
24 February 2015

Exemption notice - Securities Act Augusta Funds Management Limited Southgate Proportionate Ownership Scheme

Securities Act Augusta Funds Management Limited Southgate Proportionate Ownership Scheme Exemption Notice 2015

Tags

Exemptions, Business

Type

PDF
24 November 2016

Exemption Notice - Financial Markets Conduct NZ Mortgage Income Trust No 2 Group Investment Fund

Financial Markets Conduct Exemption Notice 2016: NZ Mortgage Income Trust (No 2 Fund) Group Investment Fund.

Tags

Exemptions, Business

Type

PDF
12 December 2018

Exemption Notice - Todd Family Office Limited Financial Reporting

Financial Markets Conduct Exemption Notice 2018: Todd Family Office Limited Financial Reporting.

Tags

Exemptions, Business

Type

PDF
24 October 2020

Pegasus Market Limited - sentencing notes

Sentencing notes in the case against Pegasus Market Limited, 23 December 2020.

Tags

Court decision, Enforcement

Type

PDF
7 July 2005

Alpine Pacific Developments Limited Neil Gurdjieff Dougan and Ernest Ross Thomson -Enforceable Undertaking

Enforceable Undertaking by the Directors of Alpine Pacific Developments Limited, 7 July 2005

Tags

Enforceable Undertaking, Enforcement

Type

PDF
30 November 2018

Wynyard Group Limited - Investigation report

This report sets out the Financial Markets Authority’s (FMA) conclusions following an investigation into the compliance of Wynyard Group Limited (Wynyard) with its continuous disclosure and fair dealing obligations. The investigation considered the period leading up to the company’s failure in late 2016.

Tags

Type

PDF
15 November 2017

Goldman Sachs New Zealand Limited - Investigation report

This report concerns an investigation by the Financial Markets Authority (FMA) into certain trading conduct of Goldman Sachs New Zealand Limited (GSJA).

Tags

Investigations, Enforcement

Type

PDF, Report
8 June 2006

The Gables Limited TGL Combined Financial Services Limited CFS and Aoraki Commerical Property Limited Aoraki Commercial Property Limited - Enforceable Undertaking

Enforceable Undertaking by The Directors of The Gables Limited, Combined Financial Services Limited, Aoraki Commercial Property Limited. 8 June 2006.

Tags

Enforceable Undertaking, Enforcement

Type

PDF
21 February 2005

South Pacific Energy Limited and Calgary Petroleum Limited Enforceable Undertaking

Enforceable Undertaking by the Directors of South Pacific Energy Limited, 21 February 2005.

Tags

Enforceable Undertaking, Enforcement

Type

PDF
1 May 2019

Morgan De Vere Corporate Finance Limited - Court decision

District Court decision in the case against Morgan De Vere Corporate Finance Limited, 1 May 2019.

Tags

Court decision, Enforcement

Type

PDF
30 March 2023

AIA New Zealand Limited - Admission and statement of facts

AIA admission and statement of facts.

Tags

Settlement, Enforcement

Type

PDF
1 May 2020

Roger Gannon - Formal Warning

Summary of Formal Warning issued by the FMA following an investigation into Mr Gannon, an AFA and Director of Gannon Insurance Brokers Limited, May 2020.

Tags

Enforcement

Type

PDF
12 December 2013

Financial Supervision Commission of Bulgaria - MOU

MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Financial Supervision Commission of Bulgaria.

Tags

Regulatory cooperation, FMA

Type

PDF, MOU
12 December 2013

Magyar Nemzeti Bank Hungary - MOU

MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Magyar Nemzeti Bank Hungary

Tags

Regulatory cooperation, FMA

Type

PDF, MOU