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Found 5480 results. Displaying page 264 of 366

20 August 2021

Sharesies Limited - Formal Warning

FMA issued a formal warning to Sharesies Limited and Sharesies Nominee Limited for failing to have sufficient anti-money laundering procedures, policies, and controls in place.

Tags

AML/CFT, Roles, Business, Enforcement

Type

PDF
23 November 2017

Fullerton Markets Ltd - Warning

Notification of a formal warning from the FMA to Fullerton Markets Ltd under section 80 of the Anti-money laundering and countering finance of terrorism Act 2009. 23 November 2017.

Tags

Enforcement

Type

PDF
13 December 2021

Squirrel P2P Trustee Limited - Public Warning

Public warning issued under Section 9 of the Financial Markets Authority Act 2011 regarding Squirrel P2P Trustee Limited, FSP 415167. 13 December 2021.

Tags

Enforcement

Type

PDF
1 May 2020

Roger Gannon - Formal Warning

Summary of Formal Warning issued by the FMA following an investigation into Mr Gannon, an AFA and Director of Gannon Insurance Brokers Limited, May 2020.

Tags

Enforcement

Type

PDF
20 March 2020

Tiger Brokers (NZ) Limited - Formal Warning

FMA issued a formal warning to NZX-accredited broker Tiger Brokers (NZ) Limited for failing to have several adequate anti-money laundering protections in place. 20 March 2020.

Tags

AML/CFT, Roles, Business, Enforcement

Type

PDF
20 October 2022

Du Val Capital Partners Limited and Du Val BTR GP Limited - Formal Warning

The FMA has issued a formal warning to Du Val Capital Partners Limited and Du Val BTR GP Limited following concerns that they may have failed to give disclosures to investors as required by Part 3 of the Financial Markets Conduct Act 2013 because they relied on the wholesale investor exclusion in circumstances where they were not entitled to. This is because some eligible investor certificates were incomplete.

Tags

Offer disclosure for equity and debt offers, Roles, Business, Enforcement

Type

PDF
20 October 2022

Williams Corporation Capital Partnership GP Limited - Formal Warning

The FMA issued a formal warning to Williams Corporation Capital Partnership GP Limited following concerns that it may have failed to give disclosures to investors as required by Part 3 of the Financial Markets Conduct Act 2013 because it relied on the wholesale investor exclusion in circumstances where they were not entitled to.

Tags

Offer disclosure for equity and debt offers, Roles, Business, Enforcement

Type

PDF
20 October 2022

Wolfbrook Capital Limited - Formal Warning

The FMA issued a formal warning to Wolfbrook Capital Limited following concerns that they may have failed to give disclosures to investors as required by Part 3 of the Financial Markets Conduct Act 2013 because it relied on the wholesale investor exclusion in circumstances where they were not entitled to.

Tags

Offer disclosure for equity and debt offers, Roles, Business, Enforcement

Type

PDF
20 October 2022

Jasper NZ Investments Limited - Formal Warning

The FMA issued a formal warning to Jasper NZ Investments Limited following concerns that it may have failed to give disclosures to investors as required by Part 3 of the Financial Markets Conduct Act 2013 because it relied on the wholesale investor exclusion in circumstances where they were not entitled to.

Tags

Offer disclosure for equity and debt offers, Roles, Business, Enforcement

Type

PDF
23 April 2020

www.accessfinancenz.com

www.accessfinancenz.com is not associated with, or authorised by, the New Zealand registered company Access Finance Limited.

Tags

Imposter website, Suspected scam, Scams

Type

Page
21 August 2020

acentrustltd.com

https://acentrustltd.com/ may be operating a scam

Tags

Imposter website, Suspected scam, Scams

Type

Page
1 July 2014

Financial Dispute Resolution Scheme - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and Fairway Resolution Limited trading as Financial Dispute Resolution Scheme

Tags

Regulatory cooperation, FMA

Type

PDF, MOU
15 May 2023

NZ RegCo - MOU

This memorandum of understanding (MOU) sets out the framework for engagement and cooperation between the FMA and NZ RegCo, which takes into account their complementary regulatory roles.

Tags

Regulatory cooperation, FMA

Type

PDF, MOU
15 October 2021

Council of Financial Regulators (CoFR) - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and the Council of Financial Regulators (Reserve Bank of New Zealand; FMA; The Treasury; Ministry of Business, Innovation and Employment (MBIE) and Commerce Commission

Tags

Regulatory cooperation, FMA

Type

PDF, MOU
9 June 2015

Statement of Intent 2015

This Statement of Intent further develops our strategic direction for the coming four years from July 2015 to
June 2019 and has been prepared in accordance with Part 4 of the Crown Entities Act 2004. It should be read in
conjunction with the Statement of Performance Expectations for each year. This report was published in 2015.

Tags

Type

PDF, Statement of intent, Corporate publications