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Found 1922 results. Displaying page 3 of 129

  1. 20 September 2019

    WFE Capital

    We are concerned that WFE Capital is involved in a scam. WFE Capital is not licensed or registered to provide financial services in either New Zealand or Hong Kong.
    Tags
    Suspected scam, Scams
    Type
    Page

  2. 14 March 2023

    8 steps to apply for a FAP licence

    8-steps to apply for a FAP icence, downloadable PDF
    Tags
    Financial Advice Provider, Licensing & registration, Roles, Business
    Type
    PDF

  3. 22 August 2018

    Capital Management

    Capital Management cold calling New Zealand residents and offering investment opportunities
    Tags
    Suspected scam, Scams
    Type
    Page

  5. 1 October 2012

    Securities Act (Banks)

    Securities Act (Banks) expired exempton notice
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  6. 4 October 2018

    FMA issues infringement notice to Pacific Eagle Capital

    The Financial Markets Authority (FMA) has issued an infringement notice to Pacific Eagle Capital (PEC) for failing to file financial statements by its due date.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  8. 11 December 2019

    Orion Holdings Capital Management and OH Capital

    The FMA recommends exercising caution before dealing with Orion Holdings Capital Management (OHCM), OH Capital and their websites www.ohcmgmt.com, and https://ohcapital.com/. The business address in Ontario which OHCM and OH Captial purports to be operating from is false. OHCM is not registered to perform business in Canada in any capacity.
    Tags
    Suspected scam, Scams
    Type
    Page

  9. 28 September 2021

    Cullman Mutual Capital

    WARNING: Cullman Mutual Capital is not a registered New Zealand company and is not registered to provide financial products or services to New Zealand residents.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  10. 3 December 2020

    Waterman Capital (WPC) Limited

    Waterman Capital (WPC) Limited, FSP685771 is a registered AML reporting entity
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    Page

  11. 15 November 2017

    Victoria Capital Group

    Victoria Capital Group is not registered to provide financial services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer, Scams
    Type
    Page

  12. 25 August 2017

    Macoo Capital Group Limited

    Macoo Capital Group Limited is not registered to provide financial services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  13. 16 November 2017

    Apex Capital AG

    Apex Capital AG is not registered to provide financial services in New Zealand.
    Tags
    Unregistered business, Investor warning, Consumer, Scams
    Type
    Page

  14. 24 November 2020

    Endeavor Capital Partners

    Endeavor Capital Partners is not registered to provide financial services in New Zealand.
    Tags
    Unregistered business, Investor warning, Consumer, Scams
    Type
    Page

  15. 1 November 2014

    Financial regulation and registration requirements for marinas

    Financial regulation and registration requirements for marinas information sheet provides information on how the Financial Markets Conduct Act 2013 (FMC Act) changes the way interests in marinas are regulated. Marinas will generally not be regulated under the FMC Act and will no longer need to register on the Financial Service Providers Register.
    Tags
    Regulation updates, Business
    Type
    Page, Guidance