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    • Disclosure
    • Investigations
    • FMC Act

    12 November 2018

    CBL

    The FMA has completed a preliminary assessment of the information obtained as part of the investigation to date from CBL and has concerns about potential breaches of the Financial Markets Conduct Act 2013 and the Companies Act 1993. Read more.

    https://fma.cwp.govt.nz/news-and-resources/cases/cbl/

    • Closed cases
    • Disclosure
    • SMA
    • Enforceable action
    • Finance company cases

    12 December 2017

    Hanover Finance, Hanover Capital & United Finance - Settlement Agreement/ Judgment

    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.

    https://fma.cwp.govt.nz/news-and-resources/cases/hanover/

    • Closed cases
    • Market manipulation

    31 July 2017

    Mark Warminger

    The FMA has issued civil proceedings seeking pecuniary penalties against Mr Warminger for trading carried out between January and August 2014. The FMA alleges that MR Warminger’s conduct amounted to market manipulation in breach of s11B of the Securities Markets Act 1988.

    https://fma.cwp.govt.nz/news-and-resources/cases/warminger/