Back

Search results

Found 6609 results. Displaying page 403 of 441

  5. 15 February 2013

    consultation paper financial advisers australian licensee notice

    The Financial Markets Authority (FMA, or we) are reviewing the Financial Advisers (Australian Licensees) Exemption Notice 2011 (Financial Advisers (Australian Licensees) notice) which expires on 30 June 2013.
    FMA is keen to hear the views of Australian financial service licence holders who are relying on the Financial Advisers (Australian Licensees) notice and selected stakeholders to determine whether or not to renew the exemption.
    Tags
    Financial Adviser, Consultations, Roles, Business
    Type
    PDF

  6. 7 February 2013

    FMA concludes investigation into Strategic Finance

    The investigation into Strategic Finance Limited concluded, with FMA forming the view that six of the company's directors are likely to have breached the Securities Act. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  7. 5 February 2013

    Two more directors plead guilty in Capital + Merchant Finance case

    Robert Gordon Sutherland and Colin Gregory Ryan, who reside in Australia, pleaded guilty to two charges of making an untrue statement in a registered prospectus and one charge of distributing advertisements which included an untrue statement. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  10. 1 February 2013

    NZ finance company collapses (2006–2012)

    The scale and circumstances of the Finance industry failure since 2006 gave rise to concerns of inappropriate behaviour and breaches of the Securities Act and a programme of investigations into the failures was initiated. Read more.
    Tags
    Enforcement
    Type
    Page

  11. 1 February 2013

    FMA's Compliance Focus for 2013

    This document outlines the Financial Markets Authority’s (FMA’s) priority areas for monitoring and surveillance in
    2013. It provides an opportunity for participants to assess their activities and take steps to improve behaviours and
    compliance controls in these areas.
    Tags
    Compliance, Reports and Papers, Business, FMA, News & Insights
    Type
    PDF

  12. 1 February 2013

    NZ finance company collapses (2006–2012)

    The scale and circumstances of the Finance industry failure since 2006 gave rise to concerns of inappropriate behaviour and breaches of the Securities Act and a programme of investigations into the failures was initiated. Read more.
    Tags
    Enforcement
    Type
    Page

  13. 30 January 2013

    Guilty plea in Capital + Merchant Finance case

    Capital + Merchant Finance director, Owen Francis Tallentire, has pleaded guilty to three charges laid by the Financial Markets Authority under the Securities Act 1978. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  14. 30 January 2013

    Expense disclosure CE 2012 jul dec

    CE gifts and hospitality disclosure for the period 1 July 2012 - 31 December 2012
    Tags
    Chief Executive Gifts and Benefits Disclosure, FMA
    Type
    PDF