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Media releases – 2011

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FMA files criminal charges against former financial adviser

FMA charges ex-financial adviser with theft of $1.7M from clients; funds meant for investment were allegedly used for personal purposes.

CBL managing director Peter Harris ordered to pay $1.4m penalty for fair dealing and continuous disclosure breaches

The High Court has ordered Peter Harris, the former CBL Corporation Limited (In Liquidation) (CBLC) managing director, to pay a penalty of $1.4 million for continuous disclosure and misleading conduct.

FMA statement on Statutory Management for Du Val corporations

FMA confirmed a number of entities within the Du Val group be placed in statutory management under the terms of the Corporations (Investigation and Management) Act 1989 (the Corporations Act).

Oceania Natural Limited defendants banned from holding senior management positions for nine years

Oceania Natural Limited defendants, Wei (Walker) Zhong and Lei (Regina) Ding have been banned from being a director, promoter or manager of an entity for nine years.

Du Val Group placed into interim receivership by High Court

The High Court has placed Du Val Capital Partners Limited together with a number of entities within the Du Val Group, into interim receivership, at the request of the FMA. The interim receivership orders were also made in respect of Kenyon and Charlotte Clarke.

FMA warns individual for market manipulation

The FMA has issued a warning to an individual online trader for suspected market manipulation.

FMA publishes guidance note for providers of client money or property services

The FMA has published guidance on how providers of client money or property services, and custodians, can meet their obligations under the Financial Markets Conduct Act 2013 (FMC Act).

FMA censures CTRL for Derivatives Issuer licence breaches

FMA has censured EC Markets previously known as (CTRL Investments Limited or CTRL) for breaching the obligations of its Derivatives Issuer licence.

Understanding fairness in financial services

The research is intended to support evidence-based conversations with industry and stakeholders on what fair treatment in financial services means.

FMA censures deVere for breaching its licence obligations

The FMA has censured deVere New Zealand Limited (deVere) for failing to comply with its FAP licence obligations.

Time for your annual KiwiSaver health check

The FMA and the Retirement Commission are together calling on KiwiSaver members to check their annual statements this year and see if they are on track for their retirement savings goals.

NZX meets its market operator licence requirements – FMA report

The annual NZX Market Operator Obligations Review, released today, assesses how well the NZX is meeting the requirements for its market operator licence.

Advisory: FMA publishes Auditor Regulation and Oversight Plan

FMA releases 2024–2027 Auditor Oversight Plan, focusing on audit firm governance, quality reviews, staff performance, and compliance standards.

FMA and XRB issue user guides to help users of climate statements

The Financial Markets Authority (FMA) and the External Reporting Board (XRB) – have jointly produced a set of guides designed to help people understand the Climate-related Disclosures (CRD) regime

FMA provides additional support to smaller firms for CoFI licensing

The FMA has today published an information sheet specifically for smaller firms to assist in establishing and maintaining a Fair Conduct Programme (FCP) and applying for a Financial Institution (CoFI) licence.

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Media releases – 2011