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  3. 30 July 2015

    Expense disclosure CE Gifts 2015 Jan Jun

    CE gifts and hospitality disclosure for the period 1 January 2015 - 30 June 2015
    Tags
    Chief Executive Gifts and Benefits Disclosure, FMA
    Type
    PDF

  4. 29 July 2015

    Fiona Mary Judd

    Fiona Mary Judd, FSP31602, is licensed to provide Discretionary Investment Management Services (DIMS).
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page

  7. 28 July 2015

    FMA’s Capital + Merchant Finance civil proceedings discontinued

    The FMA has discontinued its civil proceedings against the directors of Capital + Merchant Finance Limited. FMA considers that further time and cost of pursuing the civil proceeding would not be justified or in the public interest. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  10. 27 July 2015

    FMA issues first Stop Order against Green Gardens Finance Trust Ltd

    The Financial Markets Authority (FMA) has issued a Stop Order against Green Gardens Finance Trust Limited (GGFT) and warns the public to be wary of doing business or depositing money with this company. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  11. 27 July 2015

    Green Gardens Finance Trust Limited

    We have issued a stop order against Green Gardens Finance Trust Limited and warn the public to be wary of depositing money or dealing with this company.
    Tags
    Scams
    Type
    Page

  13. 27 July 2015

    Green Gardens Finance Trust Limited

    The Financial Markets Authority (FMA) has issued a Stop Order against Green Gardens Finance Trust Limited (GGFT) and warns the public to be wary of doing business or depositing money with this company.
    Tags
    Stop Order, Powers, Enforcement
    Type
    Page

  14. 25 July 2015

    Capital + Merchant Finance Limited (CMF)

    FMA laid criminal charges and civil proceedings against five directors of CMF, Neal Nicholls, Owen Tallentire, Colin Ryan, Wayne Douglas and Robert Sutherland, under the Securities Act. These charges related to untrue statements in offer documents distributed in 2006. Read more.
    Tags
    Court – civil, Powers, Enforcement
    Type
    Page

  15. 22 July 2015

    Lombard Finance & Investments

    The breaches relate to Lombard's failure to disclose information to the market, such as loan book quality and liquidity, regarding the performance of its finance company subsidiary Lombard Finance and Investments Limited (LFIL). Read more.
    Tags
    Enforcement
    Type
    Page