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Media releases

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Found 658 results. Displaying page 44 of 44

30 July 2010

Commissioner for Financial Advisers Receives Draft Code of Professional Conduct

The Commissioner for Financial Advisers, David Mayhew, today received from the Code Committee the draft code of professional conduct for authorised financial advisers for his approval under the Financial Advisers Act 2008.

https://www.fma.govt.nz/news/all-releases/media-releases/commissioner-for-financial-advisers-receives-draft-code-of-professional-conduct/
29 July 2010

Code Committee Members Reappointed

Commissioner for Financial Advisers David Mayhew has announced the reappointment of three members of the Code Committee. The Committee was established in July 2009 to draft a Code of Professional Conduct for Authorised Financial Advisers (AFAs).

https://www.fma.govt.nz/news/all-releases/media-releases/code-committee-members-reappointed/
28 July 2010

Issuers Could Improve Corporate Governance Reporting

The Securities Commission's latest review of corporate governance reporting shows that while most issuers are doing well, many need to improve their disclosures when it comes to ethical standards, directors and executive's remuneration, risk management, and shareholder and stakeholder relations.

https://www.fma.govt.nz/news/all-releases/media-releases/issuers-could-improve-corporate-governance-reporting/
16 July 2010

Finance & Investments Partners Enforceable Undertaking

The Securities Commission has accepted enforceable undertakings from the partners of Finance & Investments, Mr Andrew Harding and Mr Murray Scholfield.

https://www.fma.govt.nz/news/all-releases/media-releases/finance-and-investments-partners-enforceable-undertaking/
7 July 2010

Dominion and North South Finance Directors Charged

The Securities Commission has laid criminal charges and issued civil proceedings against Dominion Finance Group Limited and North South Finance Limited directors Vance Arkinstall, Richard Bettle, Terence Butler, Ann Butler, Paul Forsyth and Robert Barry Whale. Read more.

https://www.fma.govt.nz/news/all-releases/media-releases/dominion-and-north-south-finance-directors-charged/
25 June 2010

Financial Advisers Urged to Get Ready for Regulation

The Commissioner for Financial Advisers, David Mayhew, has urged advisers to get ready for the new regulatory regime. He also updated the Securities Commission's financial adviser implementation timetable.

https://www.fma.govt.nz/news/all-releases/media-releases/financial-advisers-urged-to-get-ready-for-regulation/
22 June 2010

Securities Commission Welcomes Commerce Commission Settlement with ANZ and ING

The Securities Commission welcomes the settlement that relates to the Commerce Commission's investigation into alleged breaches of the Fair Trading Act 1986 by ANZN and ING and other entities in relation to the marketing, promotion and sale of the ING Diversified Yield Fund and ING Regular Income Fund. Read more.

https://www.fma.govt.nz/news/all-releases/media-releases/securities-commission-welcomes-commerce-commission-settlement-with-anz-and-ing/
14 June 2010

Investment Adviser and Broker Banned

Former Timaru-based investment adviser Neville Ian Cant, found guilty of forgery and theft, is banned from operating as an adviser or investment broker for five years.

https://www.fma.govt.nz/news/all-releases/media-releases/investment-adviser-and-broker-banned/
2 June 2010

Guide for Authorised Financial Advisers Released

The Securities Commission today released the AFA Adviser Business Statement Guide to help financial advisers prepare for the new regulatory regime. The guide explains the document to be prepared by an adviser applying to become an Authorised Financial Adviser (AFA).

https://www.fma.govt.nz/news/all-releases/media-releases/guide-for-authorised-financial-advisers-released/
28 May 2010

Commission Finds Instances Where Investors Entitled to Refunds

Securities Commission investigations into finance companies have found that many investors are entitled to refunds on their investments.

https://www.fma.govt.nz/news/all-releases/media-releases/commission-finds-instances-where-investors-entitled-to-refunds/
15 April 2010

Criminal Charges Laid Against Lombard Directors

The Securities Commission has laid criminal charges against Lombard Finance & Investments directors Sir Douglas Graham, Michael Reeves, William Jeffries and Lawrence Bryant. Read more.

https://www.fma.govt.nz/news/all-releases/media-releases/criminal-charges-laid-against-lombard-directors/
13 April 2010

Civil Proceedings Served on Lombard Finance & Investments Directors

The Securities Commission has issued civil proceedings under the Securities Act against Lombard Finance & Investments directors Sir Douglas Graham, Michael Reeves, William Jeffries and Lawrence Bryant. Read more.

https://www.fma.govt.nz/news/all-releases/media-releases/civil-proceedings-served-on-lombard-finance-and-investments-directors/
13 April 2010

Commission to Sue Nuplex Industries Limited and Directors

The Securities Commission filed civil proceedings against Nuplex Industries Limited and six of its present or past directors, John Hirst, Robert Aitken, Barbara Gibson, David Jackson, Bryan Kensington and Michael Wynter. Read more.

https://www.fma.govt.nz/news/all-releases/media-releases/commission-to-sue-nuplex-industries-limited-and-directors/