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Found 4106 results. Displaying page 183 of 274

  1. 13 July 2017

    Anthony Norman Wilson

    Wilson admitted three charges of making a false document for pecuniary advantage and one charge of dishonestly using a document for pecuniary advantage. Read more.
    Tags
    Cases, Court – criminal, Powers, Enforcement
    Type
    Page

  2. 2 August 2022

    Consumer Experience with the Financial Sector Survey 2022

    The Consumer Experience with the Financial Sector survey is our inaugural, nationally representative survey of New Zealand consumers. The FMA commissioned the survey to gain a comprehensive understanding of consumer experiences with the financial sector. The research reveals insights into the mindset and motivations of consumers as they manage their money and deal with financial services firms. This research is part of a commitment by the FMA to build a better understanding of consumers to help shape our regulation of the financial sector and deliver on our objectives. The data also provides valuable insights for the financial services industry, other Government agencies and consumer bodies.
    Tags
    Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Financial Advice Provider, Financial Adviser, Offer information, Roles, Business, Managed investment schemes, Peer-to-peer lending service providers, Supervisor
    Type
    PDF, Research

  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. 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

  7. 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

  8. 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. 16 August 2017

    Regulation Update: August 2017

    Read our latest update on changes to regulation in the following areas: making annual reports available to shareholders electronically; fees and levies; defined benefit schemes register obligations; civil liability and rating agency.
    Tags
    Regulation updates, Business
    Type
    Page

  10. 19 May 2011

    Bernard Whimp and associated limited partnerships

    Mr Whimp, and six of the Limited Partnerships made offers to purchase shares in a number of public companies in the form of “Deferred Payment” Offers which were said to be misleading and deceptive, in breach of s 13 of the Securities Markets Act 1988. Read more.
    Tags
    Enforcement
    Type
    Page

  11. 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, Enforcement
    Type
    Page

  12. 17 November 2022

    Anchorage Trustee Services Limited

    Anchorage Trustee Services Limited, FSP146324, is licensed by the FMA as Supervisor.
    Tags
    Roles, Licensed entity, Business, Supervisor
    Type
    Page

  13. 26 July 2022

    Integrated financial products Review of managed fund documentation

    Findings from a review of the effectiveness of disclosure information from a sample of managed investment funds labelled or marketed as being integrated financial products (e.g. sustainable, ethical, green)
    Tags
    Ethical finance, Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF

  14. 23 November 2022

    FMC Act exemptions

    List of Markets Conduct Act exemptions.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  15. 30 November 2022

    Fair Conduct Programmes information sheet

    This information sheet provides information and examples to help entities establish, implement and maintain their fair conduct programmes (FCPs). It will be useful for entities holding or applying for a licence to act as a financial institution under the Financial Markets Conduct Act 2013 (FMC Act), and anyone involved in establishing, implementing and maintaining an FCP.
    Tags
    Banking, Conduct, Insurance Providers, Financial Institutions, Business
    Type
    PDF