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  1. 17 April 2019

    BAT Financial Management

    A warning was issued in relation to BAT Financial Management and the website www.BATFinancialmanagement.com and associated persons Dan Johnson and William Davies. Read more.
    Tags
    Suspected scam, Scams
    Type
    Page

  2. 17 April 2019

    Smart Financial Markets

    Smart Financial Markets are not registered to provide financial services in New Zealand and we have therefore formed the view that this entity bears the hallmarks of a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  3. 16 April 2019

    Financial Markets Conduct (RIS Group Limited) Exemption Notice 2019

    Financial Markets Conduct (RIS Group Limited) Exemption Notice 2019 exempts RIS Group Limited (RIS Group) from sections 461D and 461H(1) of the Financial Markets Conduct Act (Act) to an extent. Read more.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  4. 16 April 2019

    Director sentenced to community service for abuse of FSPR

    A New Zealand-based director of Morgan DeVere Corporate Finance Limited has been sentenced to 75 hours of community service for breaching the Financial Service Providers (Registration and Dispute Resolution) Act 2008. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  6. 15 April 2019

    2019 Annual Letter of expectations

    Annual letter of expectations from the Minister April 2019
    Tags
    Annual letter of expectations from the Minister, FMA
    Type
    PDF

  7. 15 April 2019

    FMA files civil proceedings over trading in Oceania Natural

    The FMA has issued civil proceedings in the High Court against four individuals in relation to trading in Oceania Natural Limited. The proceedings relate to alleged breaches of market manipulation prohibitions and the disclosure obligations in the Financial Markets Conduct Act 2013. Read more.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  8. 12 April 2019

    Statement on ANZ v FMA Supreme Court judgment

    The FMA is pleased with the Supreme Court decision in the matter between ANZ and the FMA. Read more.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  10. 10 April 2019

    AxiCorp Financial Services Pty Ltd

    AxiCorp Financial Services Pty Ltd is an AML reporting entity
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    Page

  11. 10 April 2019

    Holborn Assets Limited

    FMA recommends investors exercise caution before dealing with Holborn Assets Limited as it is an unregistered business in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  12. 9 April 2019

    Mark Stephen Talbot

    Mr Talbot has offered this enforceable undertaking following an investigation made by the FMA into his trading of shares in VMob Group Limited (VMob). Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  13. 9 April 2019

    Former CFO to pay $150,000, barred for Securities Markets Act breaches

    Mr Talbot has admitted to insider trading conduct and entered a guilty plea on a representative charge for a breach of disclosure obligations at Auckland High Court last month. Read more
    Tags
    Cases, Insider trading, Media release, News & Insights, Enforcement
    Type
    Page

  14. 9 April 2019

    Mark Talbot - Enforceable Undertaking

    Mr Talbot has offered this enforceable undertaking following an investigation made by the FMA into his trading of shares in VMob Group Limited (VMob). 3 April 2019.
    Tags
    Enforceable Undertaking, Enforcement
    Type
    PDF