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  1. 15 April 2024

    NZ Funds DBG

    NZ Funds DBG including: New Zealand Administration Services Limited, New Zealand Funds Management Limited, New Zealand Funds Superannuation Limited
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  2. 1 July 2019

    Fisher Funds Wealth Investments Limited Partnership

    Fisher Funds Wealth Investments Limited Partnership (previously known as Kiwi Wealth Investments Limited Partnership or Gareth Morgan Investments Limited Partnership) is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  3. 30 June 2022

    Fisher Funds Wealth Investments Limited Partnership - MIS

    Fisher Funds Wealth Investments Limited Partnership (previously known as Kiwi Wealth Investments Limited Partnership or Gareth Morgan Investments Limited Partnership), FSP46781, is a licensed Managed Investment Scheme Manager.
    Tags
    Licensed entity, Roles, Reporting entities, Business, Managed investment schemes
    Type
    Page

  4. 3 February 2023

    BNP Paribas NZ DBG

    BNP Paribas NZ DBG including: BNP Paribas Fund Services Australasia Pty Ltd (FSP42061), BNP Paribas Nominees (NZ) Limited (FSP42162), BNP Paribas Securities Services.
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  5. 16 April 2024

    Black Bull Markets DBG

    Black Bull Markets DBG includes Black Bull Group Limited, Black Bull Trade Limited.
    Tags
    Reporting entities, AML/CFT, Roles, Business, Designated Business Group (DBG)
    Type
    Page

  6. 22 April 2024

    Jarden Wealth Limited

    Jarden Wealth Limited is an AML/CFT reporting entity.
    Tags
    Type
    Page

  7. 23 April 2024

    liquidity risk management guide

    This FMA guide outlines how Managers and Supervisors can demonstrate they are effectively managing and overseeing liquidity risk.
    Tags
    Managed Investment Schemes, Supervisors, Roles, Business, Managed investment schemes
    Type
    PDF, Guidance

  8. 8 June 2023

    AA Insurance Limited (AAI)

    FMA has files civil proceedings against AA Insurance Limited (AAI)
    Tags
    Fair dealing, Insurance Providers, Court – civil, Powers, Business, Enforcement
    Type
    Page

  9. 30 September 2022

    AIA

    The Auckland High Court has ordered life insurer AIA to pay a pecuniary penalty of $700,000 for making false and/or misleading representations to some customers.
    Tags
    Court – civil, Powers, Enforcement
    Type
    Page

  10. 1 August 2022

    Alliant Perpetual

    FMA issued an infringement notice to Alliant for failing to file financial statements by their due date.
    Tags
    Infringement notice, Powers, Enforcement
    Type
    Page

  11. 7 August 2014

    Brian Peter Henry

    At the Auckland High Court, Mr Henry admitted FMA allegations that he breached the market manipulation prohibitions in the Securities Markets Act 1988, and a pecuniary penalty of $130,000 was imposed by the Court.
    Tags
    Cases, Market manipulation, Enforcement
    Type
    Page

  12. 29 April 2024

    Fresh Insurance Limited

    Fresh Insurance Limited (trading name: FutureFunds) is an AML/CFT reporting entity.
    Tags
    AML/CFT, Roles, Business
    Type
    Page

  14. 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

  15. 3 May 2024

    Warnings and alerts

    The suspected scam warnings and alerts list contains the names of businesses or individuals you should be wary of if you are planning to invest. View our list of suspected scams; fake regulators; international regulator alerts and imposter websites on this page.
    Tags
    Scams
    Type
    Page