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Found 577 results. Displaying page 36 of 39

  1. 16 August 2019

    Viaduct Capital & Mutual Finance

    Paul Bublitz was found guilty of four charges of theft by a person in a special relationship and two charges of false statement by a promoter. He was sentenced to 3 years two months imprisonment for each of the charges, to be served concurrently. Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  2. 28 August 2017

    Prince and Partners

    In taking these proceedings, it was the first time FMA brought s 34 case and acted in the place of the investors in Viaduct who lost most of their investments when Viaduct was put into receivership. Read more.
    Tags
    Court – civil, Powers, Enforcement
    Type
    Page

  3. 12 December 2017

    Hanover Finance, Hanover Capital & United Finance

    These proceedings were issued under sections 55B, 55C, 55G and related sections of the Securities Act 1978. FMA has applied for compensation, declarations of civil liability, civil pecuniary penalties against each of the five directors and promoters - Mark Hotchin, Gregory Muir, Sir Tipene O'Regan, Bruce Gordon, Eric Watson and Dennis Broit. Read more.
    Tags
    Court – civil, Powers, Enforcement
    Type
    Page

  4. 24 January 2023

    Financial Markets Conduct Act

    The Financial Markets Conduct Act 2013 forms the foundation that allows the FMA to provide quality regulation in financial services and capital markets here in NZ. Read more about the Financial Markets Conduct Act here.
    Tags
    Type
    Page

  5. 1 May 2015

    CTM Group Limited (CTM)

    Complaints from overseas-based customers of CTM about CTM’s failure to repay clients in accordance with their instructions.
    Tags
    Unregistered business, Investor warning, Consumer, Scams
    Type
    Page

  7. 27 July 2020

    Keeping our eyes on the road ahead

    FMA CE, Rob Everett, talks about FMA plans during COVID-19 response and recovery.
    Tags
    COVID-19, FMA stories, Council of financial regulators (CoFR), Regulation, Speeches and presentations , Business, FMA, News & Insights
    Type
    Page

  9. 15 February 2023

    Her Money Matters - A kōrero on financial wellbeing

    The FMA hosted a panel event, Her Money Matters for women in celebration of International Women’s Day 2023. View the event details video from the event on this page. 
    Tags
    Events, Investing, Consumer, News & Insights
    Type
    Page

  11. 21 March 2014

    FMA files criminal charges following investigation into Viaduct and Mutual

    The Financial Markets Authority has filed charges under the Crimes Act and under the Companies Act against directors and another of Viaduct Capital Limited (in receivership) and Ex-MFL Limited (in Receivership) (formerly Mutual Finance Limited).
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  14. 20 November 2014

    The FMA reports on its 12 month performance

    The Financial Markets Authority (FMA) has published its 2014 annual report for the year ended 30 June 2014. During this period the FMA began implementing the largest statutory change in financial services in 30 years. Engaging with the industry to implement the Financial Markets Conduct Act 2013(FMC Act) was one of six major achievements outlined in the report, as the FMA continued to deliver its ongoing regulatory responsibilities.
    Tags
    Media release, FMA, News & Insights
    Type
    Page, Financial reporting

  15. 6 July 2015

    FMA settlement with Hanover defendants provides $18 million compensation for investors

    FMA has reached a settlement of its civil proceedings against the former directors of Hanover finance companies, and the former directors of a parent firm, Hanover Group Ltd. As part of the settlement, $18 million will be distributed to eligible investors who invested in the Hanover finance companies in the period from 7 December 2007 to 23 July 2008. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page