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Found 73 results. Displaying page 2 of 4

    • Closed cases
    • SMA
    • Finance company cases

    8 June 2015

    Dominion Finance Group and North South Finance

    Securities Commission alleged that the directors made false statements in the Dominion Finance Group registered prospectus dated 13 September 2007, as amended by an extension certificate 20 December 2007 and the North South Finance registered prospectus dated 11 September 2007, as amended by an extension certificate 20 December 2007. Read more.

    https://www.fma.govt.nz/news-and-resources/cases/dominion-finance-group-and-north-south-finance/

    • Closed cases
    • Enforceable action

    28 May 2015

    ANZ rural interest rate swaps - Settlement agreement/ Enforceable Undertaking

    Between on or about July 2005, and 31 March 2009, ANZ Bank New Zealand Limited breached s 9 of the Fair Trading Act 1986, in that, being in trade, it engaged in conduct that was misleading in relation to some of the customers, in that it understated some of the risks and/or overstated some of the benefits of interest rate swap arrangements to those customers. Read more.

    https://www.fma.govt.nz/news-and-resources/cases/anz-rate-swaps/

    • Closed cases
    • Crimes act
    • Fraud
    • SMA
    • Companies Act
    • Finance company cases

    26 February 2015

    Belgrave Finance Limited

    Belgrave directors Stephen Charles Smith and Shane Joseph Buckley, and associate Raymond Tasman Schofield were convicted on representative charges brought by the FMA under the Securities Act, the Companies Act and Crimes act along with their legal advisor Hugh Edward Staples Hamilton. Read more.

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

    • Closed cases
    • Finance company cases
    • Crimes act
    • Fraud

    17 December 2014

    South Canterbury Finance (SCF)

    The accused are Edward Sullivan, Robert White, Lachie McLeod, Terrence Hutton, Graham Brown. The SFO has laid 21 charges in total with FMA's assistance. The charges are laid under provisions of the Crimes Act: sections 220 (theft by person in special relationship), 240 (inducing by deception), 260 (false accounting) and 242 (false statement by promoter). Read more.

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