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The Australian Securities & Investments Commission (ASIC) and New Zealand's Financial Markets Authority (FMA) have announced mutual recognition arrangements for Australian and New Zealand financial advisers.
The Financial Markets Authority is consulting on draft guidance for people involved with the sale and distribution of KiwiSaver schemes.
The Financial Markets Authority (FMA) has released its final guidance note for issuers, directors and advisers on Effective Disclosure.
The Financial Markets Authority (FMA) has today released a final version of its guidance note on KiwiSaver performance fees.
Shane Joseph Buckley, a director of failed finance company Belgrave Finance Limited (In receivership and In liquidation), pleaded guilty to 25 charges under the Securities Act, Crimes Act, and the Companies Act. Read more.
The Financial Markets Authority has today published draft guidance for public consultation on the disclosure of non-GAAP financial information.
Mr Petricevic sentenced to six and a half years imprisonment. Read more.
The Wellington District Court has dismissed an appeal by Sean Wood against a Financial Markets Authority decision to decline his application for authorisation as an Authorised Financial Adviser (AFA). Read more.
The CoA has dismissed an appeal by former Hanover director Mark Hotchin on asset preservation orders obtained by the FMA. Read more.
The Financial Markets Authority is seeking submissions from market participants, investors, representatives and advisers on review of 44 class exemption notices due to expire later this year.
The Financial Markets Authority has published their revised draft guidance note for issuers, directors and advisers on preparation of effective disclosure documents.
Justice Venning found Rodney Petricevic and Robert Roest guilty on charges of breaching the Crimes Act 1961, the Companies Act 1993, and the Securities Act 1978 and found Peter Steigrad guilty on charges of breaching the Securities Act 1978. Read more.
The Financial Markets Authority is topublish a revised draft of its guidance note by 2 April 2012 and invites further submissions from the market.
The Financial Markets Authority is warning the public of an illegal offer by Makko Securities and its Senior Account Manager, Roy Lochen, to provide broking services in relation to the proposed Initial Public Offering of Facebook and other securities.
The Financial Markets Authority has published draft guidance for securities issuers, directors and their advisers on how to prepare and present effective prospectuses and investment statements.