Back

Search results

Found 2376 results. Displaying page 145 of 159

  1. 6 June 2011

    Zero Commission NZ Limited

    FMA asked Zero for an enforceable undertaking and to include a statement provided by FMA at the beginning of the unsolicited offers to ensure that investors make an informed decision. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  2. 14 June 2024

    Financial Institutions

    A financial institution is a registered bank, licensed insurer, or licensed non-bank deposit taker (NBDT) that is in the business of providing one or more relevant services. View more about the licensing of Financial Institutions on this page.
    Tags
    Financial Institutions, Banking, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Managed Investment Schemes, Roles, Business, Managed investment schemes
    Type
    Page

  3. 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

  4. 21 June 2017

    FMA seeks feedback on robo-advice exemption

    The FMA is seeking feedback on its proposals to allow entities to provide personalised financial advice generated by a computer programme or algorithm (robo-advice). This would be a temporary measure before new legislation is passed by Parliament.
    Tags
    Media release, Digital advice providers, Business, News & Insights
    Type
    Page

  6. 10 September 2012

    FMA welcomes High Court ruling on Perpetual

    High Court's judgment ruled that FMA can retain documents relating to its inquiries into Perpetual Trust Limited. Perpetual had previously brought a challenge against FMA's information-gathering notices, alleging they were unlawful. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  13. 3 May 2019

    Company convicted for abuse of the FSPR

    Morgan DeVere Corporate Finance Limited (Morgan DeVere) has been convicted at the Wellington District Court on two counts of breaching the Financial Services Providers Act 2008 (FSP Act) for falsely claiming it was registered on the Financial Services Providers Register (FSPR). A copy of the judgment can be found here. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  14. 15 May 2018

    Second company and director charged over FSPR abuse

    Second company and director charged over FSPR abuse. The company is charged with two counts of breaching section 12 of the FSP Act.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  15. 16 May 2018

    Insurers spend $34 million on soft commissions

    FMA report details how nine life and health insurance companies spent $34 million on non-financial incentives like trips, business support and conferences for financial advisers over a two-year period.
    Tags
    Insurance, Media release, Consumer, News & Insights
    Type
    Page