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The FMA has reached agreement with former CBL Corporation Limited (In Liquidation) (CBLC) managing director Peter Harris on claims relating to continuous disclosure breaches and misleading conduct (the Continuous Disclosure Proceeding).
Natalie Ann Carter, a former Hawke’s Bay-based mortgage broker, has been sentenced to 12 months home detention following a criminal prosecution brought by the Financial Markets Authority (FMA).
FMA has filed civil proceedings against Tower Limited (Tower) for failing to apply multi policy discounts to eligible customers’ premiums, resulting in approximately $9.5 million* in overcharges.
Yuen Pok (Paul) Loo has been sentenced in the Manukau District Court following a prosecution brought by the FMA.
The FMA confirmed Matthew Geoffrey Hill, the former CEO of NZX-listed New Talisman Gold Mines Limited, has admitted making false and misleading representations in breach of FMCA.
CBL Corporation and four ex-directors fined $8.88M for misleading conduct and disclosure breaches, marking FMA’s first major case under the FMC Act.
The FMA said today that Paul Gregory, Executive Director, Response and Enforcement has resigned and accepted a role with ANZ Investment Management.
The FMA is urging New Zealanders to remain vigilant and protect themselves from investment scams this holiday season.
Natalie Ann Carter, a former Hawke’s Bay-based mortgage broker, has pleaded guilty to a further three criminal charges brought against her by the FMA.
FMA has has censured Go Financial Solutions Limited for failing to comply with several obligations under its financial advice provider (FAP) licence.
The FMA has made a permanent stop order against David Elgar McEwen and entities associated with him (McEwen and Associates).
The FMA today published the FMA annual report for the year to 30 June 2023.
The FMA has signed a Consultation Agreement with The Financial Markets Standards Board (FMSB).
FMA has cancelled Foundation Advice Limited (FAL)’s Financial Advice Provider (FAP) licence. FAL was an Auckland-based FAP offering advice on life and health insurance as well as KiwiSaver.
Medical Assurance Society New Zealand Limited (MAS) has been ordered to pay a pecuniary penalty of $2.1 million for making false and/or misleading representations to some customers, following proceedings brought by the Financial Markets Authority (FMA).