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Found 574 results. Displaying page 4 of 39

  1. 3 February 2023

    PURPLE NINE FINANCIAL SERVICES TRUST LP

    PURPLE NINE FINANCIAL SERVICES TRUST LP (FSP1002811) is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  4. 31 July 2023

    Safe Trust Wealth – Unregistered, not based in NZ

    The Safe Trust website claims to be based and regulated in New Zealand while offering investment packages. Safe Trust is not registered on the FSPR nor licensed by FMA.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  7. 22 July 2022

    Exemption Notice - The City of London Investment Trust plc

    The Financial Markets Conduct (The City of London Investment Trust plc) Exemption Notice 2022, exempts The City of London Investment Trust plc from certain financial reporting obligations in Part 7 of the Financial Markets Conduct Act 2013.
    Tags
    Exemptions, Business
    Type
    PDF, Exemption notice

  9. 25 October 2019

    AML/CFT - interpretation of a trust as a customer

    The following is a response made by the AML/CFT supervisors to a query questioning whether a trust can be a customer for the Act’s purposes. This clarification is supplemental to the Trusts Fact Sheet:
    Tags
    AML/CFT, Roles, Business
    Type
    PDF, Fact sheet

  11. 30 October 2014

    FMA focus on improving conduct and increasing trust in financial markets

    The Financial Markets Authority (FMA) Chief Executive Rob Everett has set out the evolving approach for the FMA as the regulator’s mandate expands under the Financial Markets Conduct Act, taking effect from 1 December.
    Tags
    FMC Act, Legislation, Media release, Business, News & Insights
    Type
    Page