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  1. 25 September 2015

    OPI Finance Limited

    In our first action against market participants based overseas, we charged four Australian-based directors of OPI Pacific Finance Limited (in receivership and in liquidation) for suspected misconduct in relation to its collapse. Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  2. 27 July 2015

    Green Gardens Finance Trust Limited

    The Financial Markets Authority (FMA) has issued a Stop Order against Green Gardens Finance Trust Limited (GGFT) and warns the public to be wary of doing business or depositing money with this company.
    Tags
    Stop Order, Powers, Enforcement
    Type
    Page

  3. 18 December 2013

    National Finance 2000 Ltd (NFL)

    FMA alleged that the directors (Trevor Allan Ludlow, Carol Braithwaite, Anthony Banbrook) made untrue statements in the registered prospectus for National Finance 2000 Limited. Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  4. 5 June 2014

    Strategic Finance Limited

    FMA investigation into Strategic had found that the directors( Kerry Finnigan, Graham Jackson, Marcel Lindale, Timothy Rich, Denis Thom, David Wolfenden) are likely to have breached the Securities Act by making untrue statements in a registered prospectus, investment statement and in an advertisement between March 2008 and August 2008. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  5. 13 December 2021

    AMP FSNZ DBG

    AMP FSNZ DBG including: AMP Services (NZ) Limited, AMP Wealth Management New Zealand Ltd, and Advicefirst Limited
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  6. 29 April 2024

    Guidance

    The guidance library contains the FMA’s guidance notes, information sheets, guides and other reference material.
    Tags
    Business
    Type
    Page, Guidance

  8. 3 May 2016

    Craigs Investment Partners Limited

    The FMA conducted an investigation into potential breaches of the Anti-Money
    Laundering and Countering Financing of Terrorism Act 2009 in relation
    to Craigs. Read more.
    Tags
    AML/CFT, Roles, Formal warning, Powers, AML/CFT formal warning, Business, Enforcement
    Type
    Page

  9. 15 April 2024

    Findex Advice Services NZ Limited

    Findex Advice Services NZ Limited is a DIMS licence holder.
    Tags
    Reporting entities, Discretionary investment management scheme (DIMS), Roles, Business
    Type
    Page

  10. 10 May 2024

    CapitalGroup DBG

    CapitalGroup DBG and the following entities are under DBG and the AML reporting entities list.
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  11. 26 September 2023

    Jarden Securities Limited DBG

    Jarden Securities Limited including: Jarden Securities Limited, Jarden Investment Nominees Limited, Jarden Principal Investments Limited, and Jarden Finance Limited
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  12. 8 May 2024

    Blockchain Funds Management Scheme DBG

    Blockchain Funds Management Scheme DBG including:T3P Limited, and T3P Trustee Limited
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  13. 13 May 2024

    Report a scam

    If you suspect you have been targeted by an investment or financial scam, report the scam to the FMA.
    Tags
    Suspected scam, Scams
    Type
    Page

  14. 13 May 2024

    Guidance Note: For duty holders that are AML/CFT reporting entities

    FMA, DIA and RBNZ – along with their partner agencies – MFAT and NZ Police – have provided a Guidance Note for duty holders that are AML/CFT reporting entities. The Guidance Note specifically relates to notifying a customer of an asset freeze or blocked transaction under the Russia Sanctions Act.
    Tags
    AML/CFT, News, Roles, Authorised body under a FAP, Client money or property services provider, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers
    Type
    Page, Guidance