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Media releases – 2014

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FMA publishes ethical investing disclosure insights update

FMA has published insights from its supervision of funds that claim to have ethical features.

Understanding Artificial Intelligence in Financial Services

FMA published research on the use of Artificial Intelligence (AI) in New Zealand’s financial services sector.

FMA cancels Rockfort Markets’ derivative issuer licence following High Court appeal

FMA has cancelled Rockfort Markets Limited’s (Rockfort) Derivative Issuer (DI) licence. The cancellation took place on 19 July 2024.

FMA cancels Integrity Advisers Insurance Limited’s Financial Advice Provider licence

FMA has cancelled Integrity Advisers Insurance Limited’s (Integrity) Financial Advice Provider (FAP) licence for engaging in serious misconduct.

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.

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Media releases – 2014

FMA publishes ethical investing disclosure insights update

Understanding Artificial Intelligence in Financial Services

FMA cancels Rockfort Markets’ derivative issuer licence following High Court appeal

FMA cancels Integrity Advisers Insurance Limited’s Financial Advice Provider licence

FMA files criminal charges against former financial adviser

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

FMA statement on Statutory Management for Du Val corporations

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

Du Val Group placed into interim receivership by High Court

FMA warns individual for market manipulation

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

FMA censures CTRL for Derivatives Issuer licence breaches

Understanding fairness in financial services

FMA censures deVere for breaching its licence obligations

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