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Prudential Mortgage Limited, a contributory mortgage broking firm, has been convicted and fined $2,000 for failing to deliver its annual report to the Registrar of Companies by 30 June 2013. Prudential pleaded guilty to the charge laid by the FMA. Read more.
PwC, the Receivers of Lombard Finance & Investments Limited, have announced they have reached a settlement agreement with the Lombard Directors and a third party. Read more.
The Financial Markets Authority (FMA) has charged two contributory mortgage brokers (Prudential Mortgage Limited and First Mortgage Investments Limited) with failing to deliver annual reports. Read more.
The Financial Markets Authority has released guidance documents to help financial advisers give high-quality personalised advice.
The Financial Markets Authority (FMA) says its first audit quality review shows there is work to be done to meet the required standards.
The Financial Markets Authority (FMA) has released the findings of the 2013 FMA stakeholder feedback report.
The Financial Markets Authority (FMA) has appointed Rob Everett as its new Chief Executive, effective 3 February 2014.
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.