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David Robert Gilmour Ross (63) has been sentenced in the Wellington District Court to 10 years and 10 months of imprisonment following a joint agency investigation by the SFO and the FMA. Read more.
FMA has laid charges against four directors of OPI Pacific Finance Limited (in receivership and in liquidation). Read more.
A report by the Financial Markets Authority (FMA) into prospectuses and investment statements (disclosure documents) highlights the need for issuers to lift their game.
The Financial Markets Authority (FMA) says assets invested in KiwiSaver have passed $16.5 billion, up nearly $4 billion, or 30 percent, on last year.
The Financial Markets Authority (FMA) has cancelled the combined offer document of FMP Medical Services Limited (FMP) because it believes it is false or misleading. FMA is also of the view that the offer document is likely to deceive, mislead or confuse. Read more.
The Financial Markets Authority (FMA) has announced that it has completed investigations into four of its remaining finance company cases.
Following a joint investigation into the activities of Auckland based company Strategic Planning Group Limited (SPG), the SFO and FMA have laid charges against former financial adviser Andrew Hrothgar Robinson. Read more.
Wellington financial adviser David Robert Gilmour Ross (63) today pleaded guilty in the Wellington District Court to charges laid by the SFO and the FMA. Read more.
The Financial Markets Authority (FMA) has launched two communication tools which will enhance the way it works with market participants, investors and the media.
The Financial Advisers Disciplinary Committee (FADC) has released its decision into FMA’s complaint against Stephen Musaphia.
Vance Eric Arkinstall, Richard Gilbert Bettle, and Paul Winston Forsyth were sentenced to home detention, community work and ordered to pay reparations. Read more.
The Code Committee for Authorised Financial Advisers (AFAs) has re-elected David Ireland as Chair for the next 12 months.
FMA filed and served civil proceedings against Brian Peter Henry alleging market manipulation of shares in the NZX-listed Diligent Board Member Services. Read more.
The Financial Markets Authority (FMA) has announced the appointment of Sue Brown to the new position of Head of Strategy, Innovation and Engagement.
The Financial Markets Authority (FMA) has announced that CEO Sean Hughes will not seek re-appointment for a second term as Chief Executive. He will continue in his role until the end of the year.