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Found 2523 results. Displaying page 135 of 169

  3. 15 July 2016

    Archer Capital (Pty) Limited (Archer) and Healthcare Industry Limited (HIL)

    FMA initiated civil proceedings against Archer Capital (Pty) Limited and Healthcare Industry Limited (HIL) for alleged breaches of the substantial shareholder disclosure obligations contained in the Securities Markets Act 1988, in relation to shares in Abano Healthcare Group Limited (Abano). Read more.
    Tags
    Court – civil, Powers, Enforcement
    Type
    Page

  4. 30 April 2010

    Corman Oil Limited

    Corman Oil Limited appealed to Securities Commission against a decision of Registrar of Companies to refuse registration of Corman Oil Limited prospectus dated 2 February 2010, in accordance with section 42 of the Securities Act 1978. Read more.
    Tags
    Misleading statement, Breach, Enforcement
    Type
    Page

  5. 8 June 2015

    Dominion Finance Group and North South Finance

    Securities Commission alleged that the directors made false statements in the Dominion Finance Group registered prospectus dated 13 September 2007, as amended by an extension certificate 20 December 2007 and the North South Finance registered prospectus dated 11 September 2007, as amended by an extension certificate 20 December 2007. Read more.
    Tags
    Misleading statement, Breach, Enforcement
    Type
    Page

  6. 19 December 2014

    Consultation: Corporate Governance in New Zealand – Principles and Guidelines

    Consultation: Corporate Governance in New Zealand – Principles and Guidelines handbook is intended as a reference guide for directors, executives and advisers, to help them decide how best to apply the nine key corporate governance principles.
    Tags
    Directors, Roles, Consultations, Business
    Type
    Page, Consultation

  7. 30 September 2014

    Consultation Paper: The new accountability framework - Governance under Part 4 of the FMC Act

    Consultation Paper: The new accountability framework - Governance under Part 4 of the FMC Act. 10 submissions were received. Many of the comments were incorporated into a guidance note, outlining our expectations for governance under Part 4 of the FMC Act.
    Tags
    FMC Act, Governance, Legislation, Consultations, Roles, Business, FMA, Managed investment schemes, Supervisor
    Type
    Page

  9. 22 May 2017

    Consultation paper: Proposed exemption from the obligation to prepare scheme financial statements for bundled unit trusts

    Consultation paper: Proposed exemption from the obligation to prepare scheme financial statements for bundled unit trusts. It exempts from the requirement to prepare financial statements for the scheme (as opposed to financial statements for each of the separate funds) provided the criteria in clause 5 are met. Read more.
    Tags
    Consultations, Roles, Business, Managed investment schemes, Supervisor
    Type
    Page

  10. 8 March 2017

    Consultation paper: KiwiSaver advice

    Consultation paper: KiwiSaver advice. This guidance note is for providers advising on KiwiSaver products and will replace our 2012 Guidance Note: Sale and Distribution of KiwiSaver. We are replacing this guidance to recognise feedback that our 2012 approach resulted in some people not getting the help they needed, as firms saw it as risky to provide advice. Read more here.
    Tags
    Consultations, Roles, Business, Managed investment schemes
    Type
    Page

  13. 6 October 2021

    Adviser profile – Christine Hay on her FAP licensing journey

    Christine Hay, sole adviser for and Managing Director of Hawke’s Bay financial advice provider, Financial Sense Limited talkks to the FMA about becoming a fully licensed financial advice provider.
    Tags
    Licensing & registration, Roles, Financial Advice Provider, Article, Business, News & Insights
    Type
    Page