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Found 2974 results. Displaying page 32 of 199

  1. 27 March 2014

    Investors better informed about low ball offers

    FMA says in a report that new regulations are assisting investors to make better informed decisions about unsolicited or low ball offers. The report also acknowledges that companies whose investors have been targeted have contributed to investors being better informed.
    Tags
    Media release, Consumer, News & Insights
    Type
    Page

  2. 1 December 2014

    FMA's review of market disclosures

    This report was first published by the Financial Markets Authority (FMA) in June 2013 and discusses disclosure obligations under the SMA. These disclosure obligations now fall under the FMC Act and are largely unchanged, therefore the findings and observations contained in this report remain relevant.
    Tags
    Crowdfunding providers, Cryptocurrencies, Directors, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Roles, Reports and Papers, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    Page, Report

  3. 28 January 2020

    Financial Markets Authority: Efficiency, effectiveness and baseline review

    The efficiency, effectiveness and baseline review is a report by PwC that looks at the extent to which the FMA is focused on the right activities in support of its main statutory objectives, opportunities for improving organisational performance, and options for funding FMA to support its broadening remit. Read the full report here.
    Tags
    Reports and Papers, FMA, News & Insights
    Type
    Page, Report

  4. 16 November 2022

    FMA finds continuing improvements to audit quality

    FMA releases Audit Quality Monitoring Report for 2021/22, Findings show that audit firms have improved their record keeping.
    Tags
    Auditors, Media release, Reports and Papers, Roles, Directors, Business, News & Insights
    Type
    Page

  5. 27 November 2017

    FMA publishes first peer-to-peer/crowdfunding statistical returns

    The Financial Markets Authority (FMA) today published its first statistical report on peer-to-peer lending and crowdfunding in New Zealand.
    Tags
    Crowdfunding providers, Media release, Roles, Business, News & Insights, Peer-to-peer lending service providers
    Type
    Page

  6. 4 April 2014

    Securities Trustees and Statutory Supervisors - Feedback from monitoring visits

    The findings in this report reflect common issues recorded during our on-site visits of licensees and summarises the overall assessment of monitoring quality (section 1). It also provides key messages for licensees (section 2) and outlines the future focus of monitoring reviews (section 3).
    Tags
    Monitoring, Independent trustee, Roles, Reports and Papers, Business, Supervisor
    Type
    Page, Report

  7. 27 September 2013

    Monitoring of non-GAAP disclosures

    Our review focused on the disclosure of non-GAAP profit information in market communications. This report is intended for issuers, their directors and preparers of financial information.
    Tags
    Auditors, Directors, Roles, Reports and Papers, Business
    Type
    Page, Financial reporting, Report

  8. 4 August 2016

    A review of corporate governance disclosure in New Zealand

    This report presents our review of corporate governance reporting. We are sharing these findings with companies so they can reflect on their governance practices and disclosures.
    Tags
    Directors, Roles, Reports and Papers, Business
    Type
    Page, Paper

  9. 20 March 2014

    First Mortgage Investments Limited

    This proceeding relates to an alleged failure to deliver an annual report to the Registrar of Companies in accordance with the requirements of Regulation 12 of the Securities Act (Contributory Mortgage) Regulations.
    Tags
    Enforcement
    Type
    Page, Financial reporting

  10. 15 November 2017

    Investigation into certain trading conduct of Goldman Sachs New Zealand Limited

    During our investigation into Mark Warminger, we saw trading activity by Goldman Sachs that gave cause for concern and warranted further investigation. This activity may have presented a false or misleading appearance of the price and supply of securities, which is why it came to our attention. Read more.
    Tags
    Cases, Investigations, Reports and Papers, News & Insights, Enforcement
    Type
    Page

  11. 1 July 2010

    Review of Corporate Governance Disclosure by Selected Issuers

    The purpose of this report is to inform governing bodies, investors and other stakeholders of our findings so that they can reflect critically on the governance practices and disclosures of issuers.
    Tags
    Governance, Directors, Offer disclosure for equity and debt offers, Roles, Reports and Papers, Business, FMA, News & Insights
    Type
    Page

  12. 24 July 2020

    Derivatives Issuer Sector Risk Assessment

    This sector risk assessment summarises the key risks posed by licensed Derivatives Issuers (DIs) to the FMA’s objective of promoting fair, efficient and transparent financial markets. It is based on a self-assessment completed by DIs, as well as our interactions with DIs and their clients since FMC Act licensing began. This information will be useful to help licensed DIs understand our focus areas and ensure they comply with our expectations and best practice.
    Tags
    Reports and Papers, Derivative Issuer, Roles, Business, News & Insights
    Type
    Page

  14. 6 March 2024

    Trent and Castle – Cold calling, unregistered

    We have received a report of Trent and Castle representatives cold calling New Zealand residents and offering stock broking and managed investments plans.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  15. 6 March 2014

    Prudential Mortgage Limited

    Prudential Mortgage Limited has been convicted and fined $2,000 for failing to deliver its annual report to the Registrar of Companies by 30 June 2013.
    Tags
    Court – civil, Powers, Enforcement
    Type
    Page