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Found 1871 results. Displaying page 73 of 125

  1. 5 March 2007

    Huka Falls Resort Ltd

    The Huka Falls Resort Limited and the Director(Patrick Marinus Fontein) accepted that Securities have been offered to the public for subscription, without a registered prospectus or an investment statement, in contravention of the requirements of the Securities Act 1978 and the Securities Regulations 1983. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  2. 5 March 2007

    Kensington Park Properties Ltd

    The Kensington Park Properties Limited and the Directors(Patrick Marinus Fontein, Allan Graham Clarke) accepted that Securities have been offered to the public for subscription, without a registered prospectus or an investment statement, in contravention of the requirements of the Securities Act 1978 and the Securities Regulations 1983. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  3. 21 February 2005

    South Pacific Energy Limited and Calgary Petroleum

    South Pacific and Calgary offered undertakings to the Securities Commission after Commissions concern that they may have offered securities to the public in contravention of the Securities Act. The undertakings will ensure that no such breaches occur in the future. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  4. 7 July 2005

    Alpine Pacific Developments Limited

    Alpine Pacific Developments Limited has offered participatory securities for subscription in conjunction with individual unit titles under the Unit Titles Act 1972 since December 2004. It has done so without a registered prospectus, investment statement or deed of participation. No allotments of the securities have yet occurred. Alpine and the directors(Neil Gurdjieff Dougan, Ernest Ross Thomson) were, at the time of the offer, unaware that the offers had been made in contravention of the Securities Act 1978. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  5. 4 July 2005

    Monaco Village Holdings Limited

    This undertaking is offered to the Securities Commission for acceptance under section 69J of the Securities Act 1978 by Monaco Village Holdings Limited and its directors (Robert Michael Gepp and Roderick Hugh Duke) after unintentional contravention of Securities Act 1978 and Securities Regulations 1983. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  6. 8 June 2006

    The Gables Limited (TGL), Combined Financial Services Limited (CFS) and Aoraki Commerical Property Limited (ACP)

    The Securities Commission formed the view that the offer made by TGL and the advertisement of the offer by CFS and ACP in 2006 did not comply with section 33(1) of the Act in that it was not made in or accompanied by an investment statement that complied with the Act and the Securities Regulations 1983, nor was it made in an authorised advertisement, nor in or accompanied by a registered prospectus that complied with the Act and Regulations. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  7. 20 June 2007

    Contributory Mortgage Investments Limited

    The Commission considered that CMI, CMN, Mr Martin and Mr van Nieuwkoop have failed to meet the standards of care and good governance that it expects from those who seek to raise funds from the public. Enforceable undertakings were offered to remedy the issues. Read more.
    Tags
    Investigations, Enforceable undertaking, Powers, Enforcement
    Type
    Page

  8. 21 December 2011

    Stock & Share Trading Company Pty Ltd

    FMA asked Stock & Share Trading Company Pty Ltd for an enforceable undertaking and issued warning disclosure order to include FMA warning letter with any unsolicited offer they make to ensure investors make an informed decision. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  9. 8 February 2024

    Wisdom House Investment Partners Limited

    FMA filed criminal charges against Yuen Pok (Paul) Loo of Wisdom House following offences under financial markets legislation. View the history and progress of the case on this page.
    Tags
    Stop Order, Powers, Licence cancellation, Financial Advice Provider, Financial Adviser, Roles, Court – criminal, Business, Enforcement
    Type
    Page

  10. 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

  11. 21 December 2011

    VonWin Capital Management, L.P.

    FMA asked VonWin for an enforceable undertaking and to include a statement provided by FMA at the beginning of any offer they send to Irongate bondholders to ensure they make an informed decision. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  12. 15 October 2013

    FMP Medical Services Limited

    Financial Markets Authority made orders under section 43G{l}(c} and section 43F(l}(a} of the Securities Act 1978, cancelling registration of the registered combined prospectus and investment statement for an issue of equity securities of FMP Medical Services Limited and prohibiting the distribution of the Offer Document. Read more.
    Tags
    Stop Order, Powers, Enforcement
    Type
    Page

  13. 13 July 2012

    Robert Ross and Ross Investments (Aust) Pty Limited

    Ross Investments (Aust) Pty Limited and Robert Ross entered into an enforceable undertaking to include FMA statement in unsolicited offer documents made before 1 December 2012. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  14. 5 October 2023

    Barry Kloogh (Financial Planning Limited and Impact Enterprises Limited)

    Mr Kloogh was offering brokering services to clients through the first defendant, Financial Planning Ltd, and the second defendant, Impact Enterprises Ltd, although neither they nor he was registered to offer broking services. The FMA referred the matter to the Serious Fraud Office.
    Tags
    Court – criminal, Licence cancellation, Powers, Enforcement
    Type
    Page

  15. 29 March 2023

    Vanguard

    FMA has issued a formal warning to Vanguard, for failing to lodge a required notice on the New Zealand Companies Office Disclose Register. A notice should have been lodged of an exercise of power taken against it, by the Australian Securities and Investment Commission (ASIC).
    Tags
    Formal warning, Powers, Enforcement
    Type
    Page