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  2. 22 June 2017

    FADC decision on a financial adviser

    The Financial Advisers Disciplinary Committee (FADC) has released its decision into FMA’s complaint against an authorised financial adviser.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  3. 31 August 2022

    BRITANNIA FINANCIAL SERVICES LTD

    BRITANNIA FINANCIAL SERVICES LTD is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  5. 31 August 2022

    MAXIM FINANCIAL MARKETS LIMITED

    MAXIM FINANCIAL MARKETS LIMITED is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  8. 17 October 2016

    ANZ New Zealand Investments Limited

    ANZ New Zealand Investments Limited, FSP33221, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  9. 1 October 2016

    Funds Administration New Zealand Limited

    Funds Administration New Zealand Limited, FSP3961, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  10. 1 November 2013

    Department of Foreign Investment Control

    Entity does not have registration or authorisation from FMA to offer financial services in New Zealand; and warnings issued by other regulators.
    Tags
    Fake regulator, Scams
    Type
    Page

  13. 22 July 2019

    NZX WT Nominees Limited

    NZX WT Nominees Limited, FSP560806, is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  14. 12 November 2019

    McKenzie International Investments

    The FMA recommends exercising caution before dealing with McKenzie International Investments and the website https://mckenzieinternationalinvestments.com/. We believe McKenzie International Investments has the hallmarks of a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  15. 11 December 2019

    Orion Holdings Capital Management and OH Capital

    The FMA recommends exercising caution before dealing with Orion Holdings Capital Management (OHCM), OH Capital and their websites www.ohcmgmt.com, and https://ohcapital.com/. The business address in Ontario which OHCM and OH Captial purports to be operating from is false. OHCM is not registered to perform business in Canada in any capacity.
    Tags
    Suspected scam, Scams
    Type
    Page