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Page last updated: 11 August 2023

Enforcement Activity

In the event of a breach of financial markets legislation, we may intervene on an informal basis or at a low level where such action is proportionate to the misconduct and will achieve an appropriate market outcome. However, where appropriate, we will take strong action and hold individuals and entities accountable when they break the law and fail to meet the standards that are expected of them. If harm has been identified, we may also take regulatory action of some sort even though no ‘rules’ appear to have been broken.

Our enforcement activity can be viewed on this page.

Search Results

Found 84 results. Displaying page 6 of 6

  1. 13 July 2017

    Anthony Norman Wilson

    Wilson admitted three charges of making a false document for pecuniary advantage and one charge of dishonestly using a document for pecuniary advantage.

  2. 8 June 2017

    Vivier and Company Limited (Vivier)

    FMA considered Vivier’s New Zealand FSP registration to be misleading as all its services were mostly in Europe and directed that Vivier be deregistered as an FSP.

  6. 22 June 2016

    Andrew Robinson (SPG and SPGI) and Mark Turnock (SPGI)

    The criminal proceeding brought by FMA relates to allegations of breaches of the Financial Reporting Act, Financial Advisers Act and Financial Service Providers Act. The Serious Fraud Office has also laid separate charges under the Crimes Act against Mr Robinson. Read the timeline of this case.

  7. 3 May 2016

    Craigs Investment Partners Limited

    The FMA conducted an investigation into potential breaches of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 in relation to Craigs.

  8. 25 June 2015

    David Ross and Ross Asset Management Limited

    The criminal proceeding brought against Mr Ross by FMA relates to allegations of breaches of the Financial Markets Act, Financial Advisers Act and Financial Service Providers Act.

  9. 18 June 2015

    Milford Asset Management Limited

    The FMA has reached an agreement with Milford to resolve the issues relating to Milford (but excluding the trader) arising from the investigation.