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Found 4010 results. Displaying page 214 of 268

  1. 31 August 2022

    UBS DBG

    UBS DBG including: UBS New Zealand Limited and Debenture Nominees Limited
    Tags
    AML/CFT, Roles, Designated Business Group (DBG), Business
    Type
    Page

  2. 19 July 2021

    www.rockfort-markets.com

    Warning: There are false claims made on this website that they are connected with a New Zealand licensed derivatives issuer - Rockfort Markets Limited. We do not believe Rockfort operates and/or is associated with this website.
    Tags
    Imposter website, Suspected scam, Consumer, Scams
    Type
    Page

  3. 2 September 2010

    Draft Code to Minister for Approval

    The Commissioner for Financial Advisers, David Mayhew has approved the draft Code of Professional Conduct for Authorised Financial Advisers, and sent it to the Minister of Commerce, Hon Simon Power for his approval.
    Tags
    Media release, News & Insights
    Type
    Page

  4. 28 January 2020

    Halsted Holdings Limited

    Selected Markets could be involved in a scam. Australian Securities and Investments Commission has advised on their website that this company could be involved in a scam and is unlicensed in Australia.
    Tags
    Suspected scam, Scams
    Type
    Page

  6. 19 December 2019

    Glenn Hamilton & Partners LLC

    We are concerned the operations of both entities indicates they are both associated in the operation of a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  7. 22 December 2020

    Privacy Statement

    The Financial Markets Authority is committed to ensuring your privacy is protected. Read our Privacy policy here.
    Tags
    Type
    Page

  9. 10 May 2013

    Guilty plea in Dominion Finance case

    A former director of Dominion Finance Group and North South Finance, Ann Butler, has pleaded guilty to misleading investors in a prosecution taken by the Financial Markets Authority. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  10. 7 September 2012

    New designated settlement system

    The Reserve Bank of New Zealand and the Financial Markets Authority (FMA) have announced that the NZ Clear Settlement System has been declared a designated settlement system under Part 5C of the Reserve Bank of New Zealand Act.
    Tags
    Media release, News & Insights
    Type
    Page

  11. 29 March 2011

    Commission Releases Risk Assessment for Sector

    The Securities Commission today released a risk assessment to help those it is responsible for supervising prepare to meet upcoming requirements of the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009.
    Tags
    Media release, News & Insights
    Type
    Page

  12. 17 March 2011

    Commission Warns About More Unsolicited Offers

    The Securities Commission is alerting investors to be wary of further unsolicited offers from NZ Investment Securities LP for Vector Limited shares and Carlyle Securities LP for Contact Energy shares.
    Tags
    Scams
    Type
    Page

  15. 31 August 2022

    Securities Act (Amalgamations)

    Securities Act (Amalgamations) - expired exemption notice
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page