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Found 6004 results. Displaying page 398 of 401

  1. 5 March 2007

    Huka Falls Resort Ltd

    The Huka Falls Resort Limited and the Director(Patrick Marinus Fontein) accepted that Securities have been offered to the public for subscription, without a registered prospectus or an investment statement, in contravention of the requirements of the Securities Act 1978 and the Securities Regulations 1983. Read more.

    https://www.fma.govt.nz/about-us/enforcement/cases/huka-falls/

    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  6. 8 June 2006

    80606 Enforceable Undertaking The Gables Limited TGL Combined Financial Services Limited CFS and Aoraki Commerical Property Limited ACP

    Enforceable Undertaking by The Directors of The Gables Limited, Combined Financial Services Limited, Aoraki Commercial Property Limited. 8 June 2006.

    https://www.fma.govt.nz/assets/Enforcement/Enforceable-undertakings/EU-The-Gables-Limited-TGL-Combined-Financial-Services-Limited-CFS-and-Aoraki-Commerical-Property-Limited-ACP.pdf (286 KB)

    Tags
    Enforceable Undertaking, Enforcement
    Type
    PDF

  7. 8 June 2006

    The Gables Limited (TGL), Combined Financial Services Limited (CFS) and Aoraki Commerical Property Limited (ACP)

    The Securities Commission formed the view that the offer made by TGL and the advertisement of the offer by CFS and ACP in 2006 did not comply with section 33(1) of the Act in that it was not made in or accompanied by an investment statement that complied with the Act and the Securities Regulations 1983, nor was it made in an authorised advertisement, nor in or accompanied by a registered prospectus that complied with the Act and Regulations. Read more.

    https://www.fma.govt.nz/about-us/enforcement/cases/tgl-cfs-acp/

    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  13. 7 July 2005

    Alpine Pacific Developments Limited

    Alpine Pacific Developments Limited has offered participatory securities for subscription in conjunction with individual unit titles under the Unit Titles Act 1972 since December 2004. It has done so without a registered prospectus, investment statement or deed of participation. No allotments of the securities have yet occurred. Alpine and the directors(Neil Gurdjieff Dougan, Ernest Ross Thomson) were, at the time of the offer, unaware that the offers had been made in contravention of the Securities Act 1978. Read more.

    https://www.fma.govt.nz/about-us/enforcement/cases/alpine/

    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  14. 7 July 2005

    Braemar Lodge 2004 Limited

    Braemar Lodge 2004 Limited offered participatory securities for subscription in conjunction with individual unit titles under the Unit Titles Act 1972 without a registered prospectus, investment statement or deed of participation. Braemar and the directors(Neil Gurdjieff Dougan, Ernest Ross Thomson) were, at the time of the offer, unaware that the offers had been made in contravention of the Securities Act 1978. Read more.

    https://www.fma.govt.nz/about-us/enforcement/cases/braemar/

    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page