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Found 4106 results. Displaying page 38 of 274

29 September 2021

FMA appoints Karen Chang as Acting General Counsel

The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has appointed its current Head of Enforcement, Karen Chang, as Acting General Counsel until the FMA’s new Chief Executive joins next year.

Tags

FMA people, Media release, FMA, News & Insights

Type

Page
25 September 2014

FMA releases 2014 Investigations and Enforcement Report

FMA released its Investigations and Enforcement Report for the year ending 30 June 2014.

Tags

Media release, News & Insights, Enforcement

Type

Page
25 September 2014

FMA releases 2014 Investigations and Enforcement Report

FMA released its Investigations and Enforcement Report for the year ending 30 June 2014.

Tags

Media release, News & Insights, Enforcement

Type

Page
3 October 2014

FMA files civil proceedings against Archer Capital and Healthcare Industry

The Financial Markets Authority (FMA) has filed and served civil proceedings against Archer Capital (Pty) Limited (Archer) and Healthcare Industry Limited (HIL). Read more.

Tags

Media release, News & Insights, Enforcement

Type

Page
24 October 2013

KiwiSaver assets jump 30 percent to top $16.5b

The Financial Markets Authority (FMA) says assets invested in KiwiSaver have passed $16.5 billion, up nearly $4 billion, or 30 percent, on last year.

Tags

Media release, News & Insights

Type

Page
18 March 2011

Securities Commission Orders Whimp Partnerships to Correct 'Low Ball' Offers

The Securities Commission has made orders against limited partnerships associated with Mr Bernard Whimp. The orders follow misleading offers made by the limited partnerships to buy shares in a number of listed companies. Read more.

Tags

Media release, Cases, News & Insights, Enforcement

Type

Page
1 October 2012

Securities Act (Advertisements Containing Financial Advice)

Securities Act (Advertisements Containing Financial Advice) expired exemption notice

Tags

Exemptions, Secondary legislation, Business

Type

Page
25 February 2011

Securities Act (Employee Share Purchase Schemes - Listed Companies)

Securities Act (Employee Share Purchase Schemes - Listed Companies) expired exemption notice

Tags

Exemptions, Secondary legislation, Business

Type

Page
16 March 2017

FMA files charges under the Financial Service Providers (Registration and Dispute Resolution) Act

The FMA has filed charges against Garry James Patterson in the Christchurch District Court. The FMA alleges Mr Patterson was, or was holding out as being, in the business of providing financial services in contravention of the FSP Act. Read more.

Tags

Media release, Cases, News & Insights, Enforcement

Type

Page
31 August 2022

CHRIS POPE AND ASSOCIATES LIMITED

CHRIS POPE AND ASSOCIATES LIMITED is an AML reporting entity

Tags

AML/CFT, Reporting entities, Roles, Business

Type

Page
1 June 2015

Funds Administration New Zealand Limited

Funds Administration New Zealand Limited, FSP3961, is licensed to provide Discretionary Investment Management Services (DIMS).

Tags

Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business

Type

Page
4 May 2018

Securities and Acquisition Conduct Commission

The Securities and Acquisition Conduct Commission is not a legitimate financial services regulator in New Zealand.

Tags

Fake regulator, Scams

Type

Page
31 August 2022

ALBEIT ENTERPRISES LIMITED

ALBEIT ENTERPRISES LIMITED is an AML/CFT reporting entity

Tags

AML/CFT, Reporting entities, Roles, Business

Type

Page
31 August 2022

Float Financial Advisors Limited

Float Financial Advisors Limited is an AML/CFT Reporting Entity

Tags

AML/CFT, Reporting entities, Roles, Business

Type

Page
31 August 2022

Willis Bond and Company Management No3 Limited

Willis Bond and Company Management No3 Limited is an AML/CFT reporting entity

Tags

AML/CFT, Reporting entities, Roles, Business

Type

Page