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  1. 20 February 2024

    CAPITALGROUP (AWA) LIMITED

    CAPITALGROUP (AWA) LIMITED, CAPITALGROUP (19 ARGYLE) LIMITEDCAPITALGROUP (31 HARKER) LIMITED,
    CAPITALGROUP (37 CORONATION) LIMITED,
    CAPITALGROUP (44 NEWMARK) LIMITED,
    CAPITALGROUP (464 CASHEL) LIMITED,
    CAPITALGROUP (62 MILTON) LIMITED,
    CAPITALGROUP (DRURY) LIMITED,
    CAPITALGROUP (ENNIS) LIMITED,
    CAPITALGROUP (FEATHERSTON) LIMITED,
    CAPITALGROUP (FORGE1) LIMITED,
    CAPITALGROUP (MALVERN) LIMITED,
    CAPITALGROUP (SACKVILLE) LIMITED,
    CAPITALGROUP (SPEDDING) LIMITED,
    CAPITALGROUP (AIREDALE) LIMITED,
    CAPITALGROUP (OMOKOROA) LIMITED,
    CAPITALGROUP (HOPETOUN) LIMITED,
    CAPITALGROUP (ADDISON) LIMITED,
    CAPITALGROUP (CAMBRIDGE) LIMITED, CAPITALGROUP (POLLEN) LIMITED, CAPITALGROUP (WILLESTON) LIMITED, CAPITALGROUP (PEB) LIMITED, CAPITALGROUP (LOFTS) LIMITED, CAPITALGROUP (42 WOODVILLE) LIMITED, CAPITALGROUP (128 NEVILLE) LIMITED, CAPITALGROUP (62 BLETSOE) LIMITED, CAPITALGROUP (87 BARBOUR) LIMITED, CAPITALGROUP (21 HENDON) LIMITED
    are AML/CFT reporting entities."
    Tags
    Type
    Page

  2. 20 February 2024

    CAPITALGROUP (MALVERN) LIMITED

    CAPITALGROUP (MALVERN) LIMITED, CAPITALGROUP (19 ARGYLE) LIMITEDCAPITALGROUP (31 HARKER) LIMITED,
    CAPITALGROUP (37 CORONATION) LIMITED,
    CAPITALGROUP (44 NEWMARK) LIMITED,
    CAPITALGROUP (464 CASHEL) LIMITED,
    CAPITALGROUP (62 MILTON) LIMITED,
    CAPITALGROUP (AWA) LIMITED,
    CAPITALGROUP (DRURY) LIMITED,
    CAPITALGROUP (ENNIS) LIMITED,
    CAPITALGROUP (FEATHERSTON) LIMITED,
    CAPITALGROUP (FORGE1) LIMITED,
    CAPITALGROUP (SACKVILLE) LIMITED,
    CAPITALGROUP (SPEDDING) LIMITED,
    CAPITALGROUP (AIREDALE) LIMITED,
    CAPITALGROUP (OMOKOROA) LIMITED,
    CAPITALGROUP (HOPETOUN) LIMITED,
    CAPITALGROUP (ADDISON) LIMITED,
    CAPITALGROUP (CAMBRIDGE) LIMITED, CAPITALGROUP (POLLEN) LIMITED, CAPITALGROUP (WILLESTON) LIMITED, CAPITALGROUP (PEB) LIMITED, CAPITALGROUP (LOFTS) LIMITED, CAPITALGROUP (42 WOODVILLE) LIMITED, CAPITALGROUP (128 NEVILLE) LIMITED, CAPITALGROUP (62 BLETSOE) LIMITED, CAPITALGROUP (87 BARBOUR) LIMITED, CAPITALGROUP (21 HENDON) LIMITED
    are AML/CFT reporting entities."
    Tags
    Type
    Page

  3. 20 February 2024

    CAPITALGROUP (SPEDDING) LIMITED

    CAPITALGROUP (SPEDDING) LIMITED, CAPITALGROUP (19 ARGYLE) LIMITEDCAPITALGROUP (31 HARKER) LIMITED,
    CAPITALGROUP (37 CORONATION) LIMITED,
    CAPITALGROUP (44 NEWMARK) LIMITED,
    CAPITALGROUP (464 CASHEL) LIMITED,
    CAPITALGROUP (62 MILTON) LIMITED,
    CAPITALGROUP (AWA) LIMITED,
    CAPITALGROUP (DRURY) LIMITED,
    CAPITALGROUP (ENNIS) LIMITED,
    CAPITALGROUP (FEATHERSTON) LIMITED,
    CAPITALGROUP (FORGE1) LIMITED,
    CAPITALGROUP (MALVERN) LIMITED,
    CAPITALGROUP (SACKVILLE) LIMITED,
    CAPITALGROUP (AIREDALE) LIMITED,
    CAPITALGROUP (OMOKOROA) LIMITED,
    CAPITALGROUP (HOPETOUN) LIMITED,
    CAPITALGROUP (ADDISON) LIMITED,
    CAPITALGROUP (CAMBRIDGE) LIMITED, CAPITALGROUP (POLLEN) LIMITED, CAPITALGROUP (WILLESTON) LIMITED, CAPITALGROUP (PEB) LIMITED, CAPITALGROUP (LOFTS) LIMITED, CAPITALGROUP (42 WOODVILLE) LIMITED, CAPITALGROUP (128 NEVILLE) LIMITED, CAPITALGROUP (62 BLETSOE) LIMITED, CAPITALGROUP (87 BARBOUR) LIMITED, CAPITALGROUP (21 HENDON) LIMITED
    are AML/CFT reporting entities."
    Tags
    Type
    Page

  4. 20 February 2024

    CAPITALGROUP (SACKVILLE) LIMITED

    CAPITALGROUP (SACKVILLE) LIMITED, CAPITALGROUP (19 ARGYLE) LIMITEDCAPITALGROUP (31 HARKER) LIMITED,
    CAPITALGROUP (37 CORONATION) LIMITED,
    CAPITALGROUP (44 NEWMARK) LIMITED,
    CAPITALGROUP (464 CASHEL) LIMITED,
    CAPITALGROUP (62 MILTON) LIMITED,
    CAPITALGROUP (AWA) LIMITED,
    CAPITALGROUP (DRURY) LIMITED,
    CAPITALGROUP (ENNIS) LIMITED,
    CAPITALGROUP (FEATHERSTON) LIMITED,
    CAPITALGROUP (FORGE1) LIMITED,
    CAPITALGROUP (MALVERN) LIMITED,
    CAPITALGROUP (SPEDDING) LIMITED,
    CAPITALGROUP (AIREDALE) LIMITED,
    CAPITALGROUP (OMOKOROA) LIMITED,
    CAPITALGROUP (HOPETOUN) LIMITED,
    CAPITALGROUP (ADDISON) LIMITED,
    CAPITALGROUP (CAMBRIDGE) LIMITED, CAPITALGROUP (POLLEN) LIMITED, CAPITALGROUP (WILLESTON) LIMITED, CAPITALGROUP (PEB) LIMITED, CAPITALGROUP (LOFTS) LIMITED, CAPITALGROUP (42 WOODVILLE) LIMITED, CAPITALGROUP (128 NEVILLE) LIMITED, CAPITALGROUP (62 BLETSOE) LIMITED, CAPITALGROUP (87 BARBOUR) LIMITED, CAPITALGROUP (21 HENDON) LIMITED
    are AML/CFT reporting entities."
    Tags
    Type
    Page

  5. 20 February 2024

    CAPITALGROUP (DRURY) LIMITED

    CAPITALGROUP (DRURY) LIMITED, CAPITALGROUP (19 ARGYLE) LIMITEDCAPITALGROUP (31 HARKER) LIMITED,
    CAPITALGROUP (37 CORONATION) LIMITED,
    CAPITALGROUP (44 NEWMARK) LIMITED,
    CAPITALGROUP (464 CASHEL) LIMITED,
    CAPITALGROUP (62 MILTON) LIMITED,
    CAPITALGROUP (AWA) LIMITED,
    CAPITALGROUP (ENNIS) LIMITED,
    CAPITALGROUP (FEATHERSTON) LIMITED,
    CAPITALGROUP (FORGE1) LIMITED,
    CAPITALGROUP (MALVERN) LIMITED,
    CAPITALGROUP (SACKVILLE) LIMITED,
    CAPITALGROUP (SPEDDING) LIMITED,
    CAPITALGROUP (AIREDALE) LIMITED,
    CAPITALGROUP (OMOKOROA) LIMITED,
    CAPITALGROUP (HOPETOUN) LIMITED,
    CAPITALGROUP (ADDISON) LIMITED,
    CAPITALGROUP (CAMBRIDGE) LIMITED, CAPITALGROUP (POLLEN) LIMITED, CAPITALGROUP (WILLESTON) LIMITED, CAPITALGROUP (PEB) LIMITED, CAPITALGROUP (LOFTS) LIMITED, CAPITALGROUP (42 WOODVILLE) LIMITED, CAPITALGROUP (128 NEVILLE) LIMITED, CAPITALGROUP (62 BLETSOE) LIMITED, CAPITALGROUP (87 BARBOUR) LIMITED, CAPITALGROUP (21 HENDON) LIMITED
    are AML/CFT reporting entities."
    Tags
    Type
    Page

  6. 20 February 2024

    CAPITALGROUP (ENNIS) LIMITED

    CAPITALGROUP (ENNIS) LIMITED, CAPITALGROUP (19 ARGYLE) LIMITEDCAPITALGROUP (31 HARKER) LIMITED,
    CAPITALGROUP (37 CORONATION) LIMITED,
    CAPITALGROUP (44 NEWMARK) LIMITED,
    CAPITALGROUP (464 CASHEL) LIMITED,
    CAPITALGROUP (62 MILTON) LIMITED,
    CAPITALGROUP (AWA) LIMITED,
    CAPITALGROUP (DRURY) LIMITED,
    CAPITALGROUP (FEATHERSTON) LIMITED,
    CAPITALGROUP (FORGE1) LIMITED,
    CAPITALGROUP (MALVERN) LIMITED,
    CAPITALGROUP (SACKVILLE) LIMITED,
    CAPITALGROUP (SPEDDING) LIMITED,
    CAPITALGROUP (AIREDALE) LIMITED,
    CAPITALGROUP (OMOKOROA) LIMITED,
    CAPITALGROUP (HOPETOUN) LIMITED,
    CAPITALGROUP (ADDISON) LIMITED,
    CAPITALGROUP (CAMBRIDGE) LIMITED, CAPITALGROUP (POLLEN) LIMITED, CAPITALGROUP (WILLESTON) LIMITED, CAPITALGROUP (PEB) LIMITED, CAPITALGROUP (LOFTS) LIMITED, CAPITALGROUP (42 WOODVILLE) LIMITED, CAPITALGROUP (128 NEVILLE) LIMITED, CAPITALGROUP (62 BLETSOE) LIMITED, CAPITALGROUP (87 BARBOUR) LIMITED, CAPITALGROUP (21 HENDON) LIMITED
    are AML/CFT reporting entities."
    Tags
    Type
    Page

  8. 19 March 2024

    Licensing application guide - DIMS Provider PART B4

    Your guide to applying for a DIMS market service licence under the Financial Markets Conduct Act.
    All the questions you’ll be asked, the minimum standards you’ll need to show you meet, and information about the details and supporting documents you’ll need to provide.
    Please make sure you read this guide in conjunction with our ‘Part A’ licensing guide.
    Tags
    Discretionary investment management scheme (DIMS), Licence guide, Roles, Licensing & registration, Business
    Type
    PDF

  9. 19 March 2024

    Licensing application guide - Independent trustee PART B6

    Your guide to applying for a Independent Trustees licence under the Financial Markets Conduct Act.
    All the questions you’ll be asked, the minimum standards you’ll need to show you meet, and information about the details and supporting documents you’ll need to provide.
    Please make sure you read this guide in conjunction with our ‘Part A’ licensing guide.
    Tags
    Independent trustee, Roles, Licence guide, Licensing & registration, Business
    Type
    PDF

  10. 19 March 2024

    Licensing application guide - Derivatives issuers PART B5

    Your guide to applying for a derivative issuer market service licence under the Financial Markets Conduct Act. Please make sure you read this guide in conjunction with our ‘Part A’ licensing guide.
    Tags
    Derivative Issuer, Licence guide, Roles, Licensing & registration, Business
    Type
    PDF

  11. 19 March 2024

    Licensing application guide - Peer to peer licensing guide PART B2

    Your guide to applying for a Peer to Peer licence under the Financial Markets Conduct Act.
    All the questions you’ll be asked, the minimum standards you’ll need to show you meet, and information about the details and supporting documents you’ll need to provide.
    Please make sure you read this guide in conjunction with our ‘Part A’ licensing guide.
    Tags
    Licence guide, Roles, Licensing & registration, Business, Peer-to-peer lending service providers
    Type
    PDF

  12. 22 March 2024

    Apex Analytics – Unregistered

    FMA is concerned that Apex Analytics is offering New Zealanders financial services and financial products including convertible notes while not registered. Apex Analytics is not on the Financial Service Provider Register.
    Tags
    Type
    Page

  13. 27 March 2024

    Exemption Notice Silverwood Land 2015 Limited Partnership 2024

    The scheme has some remaining real estate assets that it seeks to sell. The scheme is the subject of the Financial Markets Conduct (Silverwood Land 2015 Limited Partnership) Exemption Notice 2021, which is revoked on the close of 31 March 2024.
    Tags
    Type
    PDF, Exemption notice

  14. 8 April 2024

    Standard Conditions for Peer to peer

    If you are granted a peer-to-peer (P2P) lending service licence, the licence will be subject to the following conditions.
    Tags
    Standard conditions, Roles, Licensing & registration, Business, Peer-to-peer lending service providers
    Type
    PDF

  15. 8 April 2024

    Standard Conditions for DIMS

    DIMS standard conditions, updated April 2024 explains the systems and procedures to maintain relevant records pertaining to your market service and the records you must provide to the FMA to enable us to monitor your on- going capability to effectively perform the DIMS in accordance with the applicable eligibility criteria in the Act.
    Tags
    Discretionary investment management scheme (DIMS), Standard conditions, Roles, Licensing & registration, Business
    Type
    PDF