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  1. 18 January 2023

    FMA appoints Stuart Johnson to new Chief Economist role

    We have appointed Stuart Johnson to the newly created role of Chief Economist. Stuart joins the FMA from London, UK, where he has been Head of Behavioural Economics, Conduct Risk and Customer Experience, at major international banking and insurance firms since 2015.
    Tags
    Media release, News & Insights
    Type
    Page

  2. 11 May 2021

    PTT Limited, Steven Robertson and related parties

    Four companies were placed in liquidation over breach of financial markets legislation and case filed under Crimes act against Steven Robertson with the trial due in May 2019.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  3. 10 September 2012

    Perpetual Trust Limited

    The FMA's inquiries focused on loans made by the Perpetual Cash Management Fund to Torchlight Fund No. 1 LP and the implications for the investors in the Fund and the Perpetual Mortgage Fund. Read more.
    Tags
    Enforcement
    Type
    Page

  4. 3 March 2021

    Pegasus Markets Limited and Director Michael Reps

    The FMA alleges Pegasus Markets Limited continued to hold out on two different websites that it was registered on the FSPR after it had been deregistered and despite subsequent warnings from Companies Office.
    Tags
    Court – criminal, Powers, FSPR abuse, Enforcement
    Type
    Page

  5. 30 October 2018

    Pacific Eagle Capital (PEC)

    The Financial Markets Authority (FMA) has issued an infringement notice to Pacific Eagle Capital (PEC) for failing to file financial statements by its due date. Read more.
    Tags
    Infringement notice, Powers, Enforcement
    Type
    Page

  6. 8 June 2017

    Innovative Securities Limited (ISL)

    FMA determined that the FSPR registration of Innovative Securities is or is likely to create a false or misleading appearance that it is an FSP in New Zealand and directed companies office to deregister it. Read more.
    Tags
    Enforcement
    Type
    Page

  7. 11 September 2014

    Hayden and George Jones

    This criminal proceeding relates to allegations that Hayden and George Jones, as Directors of Heritage Park Taupo Limited and Heritage Park Investments Limited, failed to deliver financial statements to the Registrar of Companies under ss 18(1) & 38(b) Financial Reporting Act 1993.
    Tags
    Enforcement
    Type
    Page

  8. 6 July 2018

    Garry James Patterson

    The FMA has filed charges against Garry James Patterson alleging he was or was holding out as being, in the business of providing financial services in contravention of the Financial Service Providers (Registration and Dispute Resolution) Act 2008 (FSP Act). Read more.
    Tags
    Enforcement
    Type
    Page

  9. 24 January 2023

    Sharesies DBG

    Sharesies DBG including: Sharesies Ltd, and Sharesies Nominee Limited
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  10. 22 December 2020

    elezenocap.com

    We are concerned that www.elezenocap.com may be operating a scam and are withholding invested funds.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  12. 5 November 2019

    alltrademarkets

    Alltrademarkets is not registered on the Financial Service Provider Registry of New Zealand, therefore, is not permitted to offer financial services to New Zealand residents.
    Tags
    Fake regulator, Suspected scam, Scams
    Type
    Page