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Found 2522 results. Displaying page 167 of 169

  1. 3 October 1994

    Power New Zealand Limited

    The decision of the Securities Commission in respect of an appeal under Section 69 Securities Act 1978 by Power New Zealand Limited against a decision of the Registrar to refuse registration of the prospectus. Read more
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  2. 3 November 2023

    Insider trading case involving Pushpay shares

    The FMA has filed proceedings against two individuals for alleged insider trading in relation to the sale of shares in Pushpay Holdings Limited (NZX:PPH).
    Tags
    Insider trading, Enforcement
    Type
    Page

  3. 5 October 2023

    Barry Kloogh (Financial Planning Limited and Impact Enterprises Limited)

    Mr Kloogh was offering brokering services to clients through the first defendant, Financial Planning Ltd, and the second defendant, Impact Enterprises Ltd, although neither they nor he was registered to offer broking services. The FMA referred the matter to the Serious Fraud Office.
    Tags
    Court – criminal, Licence cancellation, Powers, Enforcement
    Type
    Page

  4. 21 July 2023

    Oceania Natural Limited (ONL) and associated individuals

    FMA alleged breaches of market manipulation prohibitions and the disclosure obligations in the Financial Markets Conduct Act 2013. Read more.
    Tags
    Market manipulation, Court – civil, Powers, Enforcement
    Type
    Page

  5. 18 December 2015

    Excelsior Markets Limited (Excelsior)

    FMA considered Excelsior's New Zealand FSP registration to be misleading. and directed that it be deregistered as an FSP.
    Tags
    Licence cancellation, Powers, Enforcement
    Type
    Page

  6. 21 September 2015

    SPI Directors

    This criminal proceeding relates to allegations that Murray Alcock and Allister Knight, as Directors of SPI Capital Limited and SPI Property Limited, failed to deliver financial statements to the Registrar of Companies under ss 18(1) & 38(b) Financial Reporting Act 1993. Read more.
    Tags
    Enforceable Undertaking, Enforceable undertaking, Powers, Enforcement
    Type
    Page

  7. 21 September 2015

    Murray Alcock and Allister Knight - SPI

    This criminal proceeding relates to allegations that Murray Alcock and Allister Knight, as Directors of SPI Capital Limited and SPI Property Limited, failed to deliver financial statements to the Registrar of Companies under ss 18(1) & 38(b) Financial Reporting Act 1993.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  8. 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

  9. 17 December 2014

    South Canterbury Finance (SCF)

    The accused are Edward Sullivan, Robert White, Lachie McLeod, Terrence Hutton, Graham Brown. The SFO has laid 21 charges in total with FMA's assistance. The charges are laid under provisions of the Crimes Act: sections 220 (theft by person in special relationship), 240 (inducing by deception), 260 (false accounting) and 242 (false statement by promoter). Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  10. 25 May 2015

    Pacific Edge Limited

    FMA issued warning on continuous disclosure obligations and secures $500,000 compensation payment from Pacific Edge Limited.
    Tags
    Settlement, Enforcement
    Type
    Page

  11. 5 June 2014

    Strategic Finance Limited

    FMA investigation into Strategic had found that the directors( Kerry Finnigan, Graham Jackson, Marcel Lindale, Timothy Rich, Denis Thom, David Wolfenden) are likely to have breached the Securities Act by making untrue statements in a registered prospectus, investment statement and in an advertisement between March 2008 and August 2008. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  12. 10 May 2016

    Management bans and undertakings of non-participation

    Listed below are individuals who are precluded from engaging in certain activities in respect of the governance and/or management of companies as a consequence of action taken by the FMA.
    Tags
    Enforceable action, Enforceable undertaking, Powers, Enforcement
    Type
    Page

  14. 10 May 2024

    CapitalGroup DBG

    CapitalGroup DBG and the following entities are under DBG and the AML reporting entities list.
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  15. 13 May 2024

    Guidance Note: For duty holders that are AML/CFT reporting entities

    FMA, DIA and RBNZ – along with their partner agencies – MFAT and NZ Police – have provided a Guidance Note for duty holders that are AML/CFT reporting entities. The Guidance Note specifically relates to notifying a customer of an asset freeze or blocked transaction under the Russia Sanctions Act.
    Tags
    AML/CFT, News, Roles, Authorised body under a FAP, Client money or property services provider, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers
    Type
    Page, Guidance