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The Financial Markets Authority (FMA) has issued civil proceedings in the High Court seeking pecuniary penalties against Mr Mark Warminger for trading carried out while employed by Milford Asset Management Limited (Milford). The trading occurred between December 2013 and August 2014.
The FMA has discontinued its civil proceedings against the directors of Capital + Merchant Finance Limited. FMA considers that further time and cost of pursuing the civil proceeding would not be justified or in the public interest. Read more.
The Financial Markets Authority (FMA) has issued a Stop Order against Green Gardens Finance Trust Limited (GGFT) and warns the public to be wary of doing business or depositing money with this company. Read more.
The Financial Markets Authority (FMA) has agreed to accept enforceable undertakings from David John Hobbs and Jacqueline Hobbs, limiting their activities in New Zealand’s financial markets.
FMA has reached a settlement of its civil proceedings against the former directors of Hanover finance companies, and the former directors of a parent firm, Hanover Group Ltd. As part of the settlement, $18 million will be distributed to eligible investors who invested in the Hanover finance companies in the period from 7 December 2007 to 23 July 2008. Read more.
The Financial Markets Authority (FMA) today released its Investor Capability Strategy, which aims to build knowledge, understanding and confidence about making investment decisions.
Confidence in New Zealand’s financial markets remains stable, with 60% of New Zealanders feeling confident in the state of the country’s financial markets.
The Financial Markets Authority (FMA) has reached a settlement with ASB regarding the sale, promotion and marketing of interest rate swaps to some rural customers.
The FMA has reached an agreement with Milford to resolve the issues relating to Milford (but excluding the trader) arising from the investigation, under which Milford has agreed to make payments totalling $1.5m. Read more.
Tabled in Parliament today, the Financial Markets Authority’s Statement of Intent (SOI) for 2015-2019 marks a further step in the agency’s evolution as a modern, risk-based conduct regulator.
The Financial Markets Authority (FMA) says the first listing this week on the NXT market sparks a new era of innovative capital raising in New Zealand.
The Financial Markets Authority (FMA) has made the following appointments to its executive team effective 1 July 2015.
The FMA together with the liquidators of Dominion Finance Group (DFG) and the receivers of North South Finance (NSF), reached a settlement pursuant to which $10.235m will be paid to liquidators and receivers for distribution in the receivership. Read more.
NZClear is a designated settlement system and consequently subject to Part 5C of the Reserve Bank of New Zealand Act 1989 (‘RBNZ Act’).
The High Court in Christchurch has granted the Financial Markets Authority’s (FMA) application for Grant Graham and Neale Jackson of KordaMentha to be appointed as receivers and managers of Arena Capital Limited, trading as Blackfort FX (Arena/Blackfort). Read more.