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Found 6497 results. Displaying page 69 of 434

  1. 8 June 2006

    The Gables Limited (TGL), Combined Financial Services Limited (CFS) and Aoraki Commerical Property Limited (ACP)

    The Securities Commission formed the view that the offer made by TGL and the advertisement of the offer by CFS and ACP in 2006 did not comply with section 33(1) of the Act in that it was not made in or accompanied by an investment statement that complied with the Act and the Securities Regulations 1983, nor was it made in an authorised advertisement, nor in or accompanied by a registered prospectus that complied with the Act and Regulations. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  2. 15 October 2013

    FMP Medical Services Limited

    Financial Markets Authority made orders under section 43G{l}(c} and section 43F(l}(a} of the Securities Act 1978, cancelling registration of the registered combined prospectus and investment statement for an issue of equity securities of FMP Medical Services Limited and prohibiting the distribution of the Offer Document. Read more.
    Tags
    Stop Order, Powers, Enforcement
    Type
    Page

  4. 30 September 2021

    AML/CFT Monitoring Report

    AML/CFT Monitoring Report summarises the FMA's monitoring activities to help firms and individuals better understand our expectations.
    Tags
    AML/CFT, Compliance, Directors, Roles, Reporting entities, Reports and Papers, Business, News & Insights
    Type
    Page, Report

  5. 30 September 2021

    AML/CFT Monitoring Report

    AML/CFT Monitoring Report summarises the FMA's monitoring activities to help firms and individuals better understand our expectations.
    Tags
    AML/CFT, Compliance, Directors, Roles, Reporting entities, Reports and Papers, Business, News & Insights
    Type
    Page, Report

  6. 17 December 2021

    FMA warns Squirrel P2P Trustee Limited for historic custodian breaches

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has formally warned Squirrel P2P Trustee Limited for failing to carry out certain obligations as a custodian. The entity provides a custodial service for the peer-to-peer lending service of Squirrel Money Limited.
    Tags
    Roles, Media release, Business, News & Insights, Enforcement, Peer-to-peer lending service providers
    Type
    Page

  7. 2 September 2010

    Draft Code to Minister for Approval

    The Commissioner for Financial Advisers, David Mayhew has approved the draft Code of Professional Conduct for Authorised Financial Advisers, and sent it to the Minister of Commerce, Hon Simon Power for his approval.
    Tags
    Media release, News & Insights
    Type
    Page

  9. 27 July 2022

    FMA review of ethical investing claims in managed funds

    A review of 14 KiwiSaver and other managed funds to establish how well they are applying the FMA’s integrated financial product (IFP) guidance.
    Tags
    Roles, Ethical finance, Media release, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page

  10. 8 June 2015

    Dominion Finance Group and North South Finance

    Securities Commission alleged that the directors made false statements in the Dominion Finance Group registered prospectus dated 13 September 2007, as amended by an extension certificate 20 December 2007 and the North South Finance registered prospectus dated 11 September 2007, as amended by an extension certificate 20 December 2007. Read more.
    Tags
    Misleading statement, Breach, Enforcement
    Type
    Page

  13. 13 October 2021

    Pacific Forex Asset Management

    WARNING: Pacific Forex Asset Management is not a registered financial service provider in New Zealand. We recommend exercising caution when dealing with this entity and the website.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  14. 16 November 2022

    Investor warning for Exor Company International Ltd

    WARNING: Exor Company International Limited, and exorcompany.com, claim to be offering forex and crypto trading platforms despite not being registered to provide financial services in New Zealand.
    Tags
    Investor warning, Consumer
    Type
    Page

  15. 19 February 2015

    FMA DIMS seminar presentation

    The Christchurch DIMS Seminar powerpoint provides information about: What is a DIMS; when is it DIMS; when it's not DIMS; an example of DIMS; types of DIMS; contingency DIMS requirements, client agreements, investment authorities, what AFAs should do; DIMS that aren't Contingency DIMS; what is considered personalised or Class?,; decisions for AFAs currently authorised for DIMS; licensing action; tips and fees.
    Tags
    Discretionary investment management scheme (DIMS), Roles, Business
    Type
    Page, Guidance