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  4. 14 June 2022

    Cigna and OnePath Life - Enforceable Undertaking

    OnePath Life (NZ) Limited and Cigna Life Insurance New Zealand Limited will jointly pay $180,000 to the FMA after admitting liability for breaching the fair dealing provisions of the Financial Markets Conduct Act 2013 (FMCA). 14 June 2022
    Tags
    Enforceable Undertaking, Enforcement
    Type
    PDF

  5. 22 December 2021

    Medical Kiwi Limited - Enforceable Undertaking

    In August 2020, Medical Kiwi offered shares to potential investors via the online crowd funding platform PledgeMe Limited. These undertakings relate to misleading statements by Medical Kiwimade in August 2020 in relation to the Offer.
    Tags
    Enforceable Undertaking, Enforcement
    Type
    PDF

  6. 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

  7. 3 March 2017

    Mark Warminger - Judgment

    Mark Warminger Judgment in the HIgh Court issued in the case brought about by the FMA March 2017.
    Tags
    Cases, Enforcement
    Type
    PDF

  8. 25 March 2022

    Zhongyang (Sean) Meng and Jiashun (Sam) Qian - Judgment

    JUDGMENT: Zhongyang (Sean) Meng and Jiashun (Sam) Qian have been ordered to pay pecuniary penalties of $180,000 and $130,000 respectively for market manipulation and disclosure breaches involving Oceania Natural Limited (ONL) shares.
    Tags
    Judgment, Enforcement
    Type
    PDF

  9. 30 September 2022

    AIA New Zealand Ltd - Judgment

    23 September 2022 The Auckland High Court ordered life insurer AIA to pay a pecuniary penalty of $700,000 for making false and/or misleading representations to some customers.
    Tags
    Judgment, Enforcement
    Type
    PDF

  10. 1 June 2017

    Innovative Securities - Judgment

    High Court judgment issued to Innovative securities in the case between FMA and Innovative Securities, 1 June 2017.
    Tags
    Court decision, Judgment, Enforcement
    Type
    PDF

  11. 5 June 2020

    Steven Robertson - Judgment

    Court of Appeal decision in the Judgment against Steven Roberson, 5 June 2020.
    Tags
    Court decision, Enforcement
    Type
    PDF

  12. 19 July 2019

    Syndicated Trusts - Stop Order

    The Stop Order issued by the FMA The Stop Order prohibits STL from certain activity, including:distributing communications and advertisements about itself or the offer of financial products,
    accepting applications or money for financial products.
    Tags
    Enforceable Undertaking, Enforcement
    Type
    PDF

  13. 12 May 2011

    Carrington Securities LP - Judgment

    High Court Judgment in the case between Securities Commission (FMA)and Carrington Securities LP, 12 May 2011.
    Tags
    Court decision, Enforcement
    Type
    PDF

  14. 15 February 2023

    Validus - Interim Stop Order

    INTERIM STOP ORDER made by the Financial Markets Authority (FMA) pursuant to section 465 of the Financial Markets Conduct Act 2013 (Act), issued to Validus.
    Tags
    Enforceable action, Enforcement
    Type
    PDF

  15. 5 July 2023

    Validus - Stop Order

    FMA makes permanent stop order against Validus after appeal is dismissed in the High Court.
    Tags
    Stop Order, Enforceable undertaking, Powers, Enforcement
    Type
    PDF