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Found 6339 results. Displaying page 22 of 423

1. 15 November 2023

   Private Asset Management Ltd (PAM) DBG

   Private Asset Management Limited DBG includes: Private Asset Management Limited, Graeme Leslie TEE, Angela Linda MAUNSELL-TERRY, and Walter Brent SHEATHER.

   Tags

   Reporting entities, Roles, Business, Designated Business Group (DBG)

   Type

   Page

2. 23 April 2024

   Submissions report Liquidity risk management guide

   Submissions report following the consultation: Liquidity risk management guide.

   Tags

   Supervisors, Roles, Business, Managed investment schemes

   Type

   PDF

3. 28 May 2024

   Fisher Funds Wealth Investment Management Limited

   Fisher Funds Wealth Investment Management Limited (previously named KIWI INVESTMENT MANAGEMENT LIMITED) is an AML/CFT reporting entity.

   Tags

   Type

   Page

4. 23 October 2015

   Securities Act (Augusta Funds Management Limited – Shands Road Limited Partnership)

   Securities Act (Augusta Funds Management Limited – Shands Road Limited Partnership) expired exemption notice

   Tags

   Exemptions, Secondary legislation, Business

   Type

   Page

5. 31 August 2022

   GLOBAL VILLAGE PERSONAL FINANCE PLANNING AND WEALTH MANAGEMENT LTD

   GLOBAL VILLAGE PERSONAL FINANCE PLANNING AND WEALTH MANAGEMENT LTD is an AML reporting entity

   Tags

   AML/CFT, Reporting entities, Roles, Business

   Type

   Page

6. 19 May 2017

   Financial Advisers (Certified Investment Management Analyst) Exemption Notice 2017

   Financial Advisers (Certified Investment Management Analyst) Exemption Notice 2017

   Tags

   Exemptions, Secondary legislation, Business

   Type

   Page

7. 30 September 2016

   Financial Markets Conduct (Lifetime Asset Management Limited) Exemption Notice 2016

   Financial Markets Conduct (Lifetime Asset Management Limited) Exemption Notice 2016 expired

   Tags

   Exemptions, Secondary legislation, Business

   Type

   Page

8. 1 June 2012

   Futures Contracts (Asia-Pacific Risk Management Limited)

   Futures Contracts (Asia-Pacific Risk Management Limited) expired exemption notice

   Tags

   Exemptions, Secondary legislation, Business

   Type

   Page

9. 4 September 2015

   Securities Act (Augusta Funds Management Limited – Sherbrooke Rd Partnership)

   Securities Act (Augusta Funds Management Limited – Sherbrooke Rd Partnership) expired exemption notice

   Tags

   Exemptions, Secondary legislation, Business

   Type

   Page

10. 24 February 2015

    Securities Act (Augusta Funds Management Limited – Southgate Proportionate Ownership Scheme)

    Securities Act (Augusta Funds Management Limited – Southgate Proportionate Ownership Scheme) - expired exemption notice

    Tags

    Exemptions, Secondary legislation, Business

    Type

    Page

11. 3 December 2012

    FMA letter to Bruce Tichbon about Ross Asset Management Ltd

    Letter to Bruce Tichbon about Ross Asset Management Ltd

    Tags

    Cases, Enforcement

    Type

    PDF

12. 16 May 2017

    Exemption notice - Financial Advisers Certified Investment Management Analyst

    Financial Advisers (Certified Investment Management Analyst) Exemption Notice 2017.

    Tags

    Exemptions, Business

    Type

    PDF

13. 30 September 2016

    Exemption Notice - Financial Markets Conduct Lifetime Asset Management Limited

    Financial Markets Conduct (Lifetime Asset Management Limited) Exemption Notice 2016

    Tags

    Exemptions, Business

    Type

    PDF

14. 10 July 2015

    Exemption Notice - Financial Markets Conduct Southern Pastures Management Limited

    Financial Markets Conduct (Southern Pastures Management Limited) Exemption Notice 2015

    Tags

    Exemptions, Business

    Type

    PDF

15. 29 November 2023

    Scams

    This section of the FMA website contains information about investment scams, how to protect yourself from scammers, how to report a scam, examples of real life scam stories and provides a list of current scam warnings.

    Tags

    Scams

    Type

    Page