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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.
The Financial Markets Authority (FMA) has released its Investigations and Enforcement Report on the key issues and themes arising in the last 12 months.
Two former directors of Capital + Merchant Finance have had their prison sentences increased following a prosecution taken by the Financial Markets Authority. Read more.
Three more charges have been laid by the Financial Markets Authority (FMA) against David Ross alleging breaches of financial markets legislation. Read more.
Vance Arkinstall and Richard Bettle each pleaded guilty to five Securities Act charges including making untrue statements in a Dominion Finance investment statement and extension certificate, and making an untrue statement in a North South Finance extension certificate. Read more.
Two former directors of Dominion Finance have today been sentenced to home detention after pleading guilty to Securities Act charges laid by the Financial Markets Authority. Read more.
Charges laid in the Wellington District Court against David Robert Gilmour Ross. The charges laid by the Serious Fraud Office (SFO) allege he operated a $400 million Ponzi scheme. They follow a joint agency investigation between SFO and the FMA. Read more.