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Found 4106 results. Displaying page 225 of 274

1. 28 March 2022

   The One Management GP Limited and James Law Realty - Interim Stop Order

   FMA issued an interim stop order to The One Management GP Limited and James Law Realty regarding an offer in relation to The One in Longhorn Partnership Fund (‘the Fund’), which is only open to wholesale investors, including eligible investors. 28 March 2022

   Tags

   Enforceable action, Enforcement

   Type

   PDF

2. 29 August 2022

   Kalkine New Zealand Limited - Direction Order

   FMA directs Kalkine New Zealand Limited to stop making outgoing sales calls to people in New Zealand following concerns about the entity’s misleading marketing conduct. 10 August 2022.

   Tags

   Financial Adviser, Investigations, Roles, Business, Consumer, Enforcement

   Type

   PDF

3. 7 March 2022

   Simplicity NZ Ltd - Direction Order

   Direction order issued to Simplicity NZ Limited pursuant to section 414 of the FMC Act 2022 7 March 2022.

   Tags

   Managed funds, Investigations, Ways to invest, Investing, Consumer, Enforcement

   Type

   PDF

4. 24 March 2011

   Bernard Whimp - Interim Stop Order

   The High Court, on application from the Securities Commission, has granted interim injunctions to stop shares being transferred to limited partnerships associated with Mr Bernard Whimp.

   Tags

   Type

   PDF

5. 24 January 2014

   Lombard - Settlement Agreement

   News release issued by PWC, 24 January 2014 about settlement agreement with the Directors of Lombard and their insurers.

   Tags

   Settlement, Enforcement

   Type

   PDF

6. 2 May 2016

   Craigs - Settlement Agreement

   Craigs and FMA Settlement agreement,following an investigation into potential breaches of Anti-Money Laundering and Countering Financing of Terrorism Act 2009 in relation to Craigs. 2 May 2016.

   Tags

   Investigations, Settlement, Enforcement

   Type

   PDF

7. 10 October 2019

   Circle Markets Limited - Formal Warning

   Notification of a formal warning from the FMA to Circle Markets Ltd under section 80 of the Anti-money laundering and countering finance of terrorism Act 2009. 10 October 2019.

   Tags

   AML/CFT, Roles, Business, Enforcement

   Type

   PDF

8. 20 August 2021

   Sharesies Limited - Formal Warning

   FMA issued a formal warning to Sharesies Limited and Sharesies Nominee Limited for failing to have sufficient anti-money laundering procedures, policies, and controls in place.

   Tags

   AML/CFT, Roles, Business, Enforcement

   Type

   PDF

9. 23 November 2017

   Fullerton Markets Ltd - Warning

   Notification of a formal warning from the FMA to Fullerton Markets Ltd under section 80 of the Anti-money laundering and countering finance of terrorism Act 2009. 23 November 2017.

   Tags

   Enforcement

   Type

   PDF

10. 13 December 2021

    Squirrel P2P Trustee Limited - Public Warning

    Public warning issued under Section 9 of the Financial Markets Authority Act 2011 regarding Squirrel P2P Trustee Limited, FSP 415167. 13 December 2021.

    Tags

    Enforcement

    Type

    PDF

11. 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. 29 September 2014

    General Equity - Order

    Order issued by the FMA against General Equity and associated persons of General Equity on 29 September 2014

    Tags

    Enforceable action, Formal warning, Powers, Enforcement

    Type

    PDF

13. 15 December 2022

    Pencarrow Private Equity Management Limited - Formal Warning

    We have formally warned Pencarrow Private Equity Management Limited for breaching record-keeping requirements under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act.
    Our investigation found Pencarrow had systemic failings in its retention of identity and verification records for customers who invested in its Fund V, during the period April to July 2018, in that the records were not readily accessible.

    Tags

    Type

    PDF

14. 20 March 2020

    Tiger Brokers (NZ) Limited - Formal Warning

    FMA issued a formal warning to NZX-accredited broker Tiger Brokers (NZ) Limited for failing to have several adequate anti-money laundering protections in place. 20 March 2020.

    Tags

    AML/CFT, Roles, Business, Enforcement

    Type

    PDF

15. 20 October 2022

    Black Robin Equity Limited and Westwood Terraces BRE Limited - Formal Warning

    The FMA has issued a formal warning to Black Robin Equity Limited and Westwood Terraces BRE Limited following concerns that they may have failed to give disclosures to investors as required by Part 3 of the Financial Markets Conduct Act 2013 because they relied on the wholesale investor exclusion in circumstances where they were not entitled to. This is because some eligible investor certificates were incomplete.

    Tags

    Offer disclosure for equity and debt offers, Roles, Business, Enforcement

    Type

    PDF