1. News and resources
  2. Cases

Cases

Show advanced search

Clear all

Found 78 results. Displaying page 1 of 4

    • Disclosure
    • Investigations
    • FMC Act

    12 November 2018

    CBL

    The FMA has completed a preliminary assessment of the information obtained as part of the investigation to date from CBL and has concerns about potential breaches of the Financial Markets Conduct Act 2013 and the Companies Act 1993. Read more.

    https://www.fma.govt.nz/news-and-resources/cases/cbl/

    • Closed cases
    • Disclosure
    • SMA
    • Enforceable action
    • Finance company cases

    12 December 2017

    Hanover Finance, Hanover Capital & United Finance - Settlement Agreement/ Judgment

    These proceedings were issued under sections 55B, 55C, 55G and related sections of the Securities Act 1978. FMA has applied for compensation, declarations of civil liability, civil pecuniary penalties against each of the five directors and promoters - Mark Hotchin, Gregory Muir, Sir Tipene O'Regan, Bruce Gordon, Eric Watson and Dennis Broit. Read more.

    https://www.fma.govt.nz/news-and-resources/cases/hanover/