Enforcement actions from FMA, Commerce Commission, and NZX against NZX-listed companies. Includes the Companies Office prohibited directors register.
Persons prohibited or banned from acting as company directors by the Companies Office. 6 currently active.
| Name | Type | Start | End | NZX Match |
|---|---|---|---|---|
| David Mcewen | convicted | — | Indefinite | No match |
| Murray Mcclune | convicted | — | Indefinite | No match |
| Les Vela | licence_cancelled | — | Indefinite | No match |
| Franco Belgiorno-Nettis | prosecuted | 2025-12-09 | Indefinite | No match |
| Simone Sellar | banned | 2024-06-01 | Indefinite | No match |
| David Ross | banned | 2013-01-01 | Indefinite | No match |
ADT Security Limited Outcome: Warning letter
Our case register includes information about the following types of Commission activity: Applications for: the authorisation or clearance of mergers authorisation of anti-competitive agreements clearance of competitor collaboration. Investigations of businesses or individuals under the laws that we enforce. A case register entry is published when an application is accepted for assessment, or an investigation begins. The facts and the context of each case determine what detail we publish. When de
Former financial advisor David McEwen has been convicted of four charges of breaching an FMA Stop Order.
FMA investigates Chance Voight and appoints PwC interim liquidators. Learn key updates on asset preservation.
Anonymous entity: Public censure for breach of NZX Listing Rules 2.1.1(c), NZX Listing Rules 2.1.1(a), NZX Listing Rules 2.1.1(c)
Issuer infringement notice for breach of NZX Listing Rule 3.20.1. — $2,000 penalty
Enforcement actions are collected from publicly available regulatory publications. NZXplorer matches entities to NZX-listed companies using name and ticker matching. Prohibited directors are sourced from the Companies Office register.
Data sourced from publicly available records. Our datasets may not be complete. Automated analysis can produce errors. If you believe any data on this page is incorrect, please contact us at hello@nzxplorer.co.nz. For informational purposes only. Not investment advice.
The FMA filed civil proceedings against Booster Investment Management Limited (BIML), a wholly owned subsidiary of Booster Financial Services Limited.
FMA warns Aioi Nissay Dowa Insurance for failing to apply advertised discounts to customers buying motor vehicle insurance policies in New Zealand.
Financial Markets Authority files High Court case against Franco Belgiorno-Nettis for alleged NZX market manipulation of STU shares
Former adviser Murray McClune pleads guilty to theft of $1.7M from elderly clients, following FMA investigation. Case proceeded as Crown prosecution after initial jury trial election.
FMA cancels Wise Insurance's FAP licence after fake policy scam, director Le Zhou charged over $260K commission fraud.
The FMA has warned Du Val Capital Partners Limited (DVCP), the general partner of the Du Val Mortgage Fund Limited Partnership (Du Val Mortgage Fund, MFLP, the Fund) and Du Val Group. See all enforcement activity relating to Du Val on this page
The FMA filed High Court civil proceedings against Kiwibank for making false and/or misleading representations, under the fair dealing provisions of the Financial Markets Conduct Act (FMC Act). Read the case timeline on this page.
Geneva Finance Limited: Public censure for breach of NZX Listing Rules 2.1.1(c), NZX Listing Rule 2.13.2(b), NZX Listing Rule 3.1.1, NZX Listing Rules 2.13.2(b)
Issuer infringement notice for breach of NZX Listing Rule 2.13.2. — $6,000 penalty
TruScreen Group Limited: Public censure for breach of NZX Listing Rule 2.13.2(b), NZX Listing Rule 3.1.1, NZX Listing Rules 2.13.2(b), NZX Listing Rules 2.13.2(b)
Enprise Group Limited: Public censure for breach of NZX Listing Rule 3.1.1, NZX Listing Rules 2.13.2(b), NZX Listing Rules 2.13.2(b)
Issuer infringement notice for breach of NZX Listing Rule 2.13.2. — $8,000 penalty
Issuer infringement notice for breach of NZX Listing Rule 2.13.2. — $8,000 penalty
Issuer infringement notice for breach of NZX Listing Rule 2.13.2. — $10,000 penalty
CDL Investments New Zealand Limited: Public censure for breach of NZX Listing Rules 2.13.2(b), NZX Listing Rules 2.13.2(b), NZX Listing Rules 2.1.1(c)
Millennium & Copthorne Hotels New Zealand Limited: Public censure for breach of NZX Listing Rules 2.13.2(b), NZX Listing Rules 2.1.1(c), NZX Participant Rules 3.13(a)
Cheap Cars Group Limited: Public censure for breach of NZX Listing Rules 2.1.1(c), NZX Participant Rules 3.13(a), NZX Listing Rules 2.6.3
at first instance Determination on appeal Participant A: Public censure for breach of NZX Participant Rules 3.13(a), NZX Listing Rules 2.6.3, NZX Participant Rule 19.1.1
Hallenstein Glasson Holdings Limited: Public censure for breach of NZX Listing Rules 2.6.3, NZX Participant Rule 19.1.1, NZX Listing Rules 3.1.1
UBS New Zealand Limited: Public censure for breach of NZX Participant Rule 19.1.1, NZX Listing Rules 3.1.1, NZX Listing Rules 3.5.1, NZX Listing Rule 3.1.1
Issuer infringement notice for breach of NZX Listing Rule 3.26.2. — $5,000 penalty
Issuer infringement notice for breach of NZX Listing Rule 3.26.2. — $5,000 penalty
Issuer infringement notice for breach of NZX Listing Rule 3.26.2. — $2,000 penalty
Issuer infringement notice for breach of NZX Listing Rule 3.26.2. — $5,000 penalty
