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Found 3697 results. Displaying page 92 of 247

  1. 5 February 2013

    Two more directors plead guilty in Capital + Merchant Finance case

    Robert Gordon Sutherland and Colin Gregory Ryan, who reside in Australia, pleaded guilty to two charges of making an untrue statement in a registered prospectus and one charge of distributing advertisements which included an untrue statement. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  2. 20 June 2011

    Statement on Hubbard Investigation

    The Financial Markets Authority (FMA) and the Serious Fraud Office (SFO) have worked together closely throughout this investigation. The evidence on which the charges laid by the SFO today are based could also give rise to charges by FMA under section 59 of the Securities Act.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  3. 15 December 2010

    Hotchin's Assets Frozen on Commission Request

    The High Court granted interim asset preservation orders in respect of assets believed to be associated with former Hanover director Mark Hotchin to the Securities Commission(FMA's predecessor). Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  4. 11 June 2015

    New roles within the FMA executive team

    The Financial Markets Authority (FMA) has made the following appointments to its executive team effective 1 July 2015.
    Tags
    FMA executive team, Governance, Media release, FMA, News & Insights
    Type
    Page

  5. 14 September 2022

    KiwiSaver Statements survey

    KiwiSaver statements survey to understand members’ engagement with their annual statement and attitudes towards KiwiSaver.
    Tags
    Managed investment schemes, Supervisor, Roles, KiwiSaver & Superannuation, Business, Consumer
    Type
    Page, Surveys

  6. 1 December 2016

    The end of the beginning for the new regime in financial services

    A decade in the making, today marks the beginning of a new era in the regulation of New Zealand’s financial markets. The introduction of a stronger regime overseeing financial markets, based on the good conduct of providers, has been in train since before the establishment of the Capital Markets Development Taskforce in 2008.
    Tags
    New Financial Advice regime, Media release, Business, News & Insights
    Type
    Page

  7. 16 October 2015

    Anthony John Munro

    Anthony John Munro, FSP5501, is licensed to provide Discretionary Investment Management Services (DIMS).
    Tags
    Licensed entity, Roles, Discretionary investment management scheme (DIMS), Business
    Type
    Page

  8. 30 August 2018

    Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice 2018

    The principal notice permits entities listed in Schedule 1 of the notice to provide personalised services to retail clients where those services are provided through a digital advice facility. This notice amends the principal notice to add Nikko Asset Management New Zealand Limited (Nikko Asset Management) to that list of entities.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  9. 15 November 2019

    Crests Financial

    We have received a complaint from a New Zealand resident who invested with Crests Financial, who are withholding the release of any funds. Crests Financial is not licensed or registered to provide financial services in New Zealand. We are concerned that they may be operating a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  10. 17 December 2019

    Trendingraphs (Premium Systems)

    Trendingraphs (Premium Systems) is not a registered company or financial service provider in New Zealand.
    Tags
    Suspected scam, Scams
    Type
    Page

  11. 10 March 2021

    Consultation: Recognition of Australian adviser qualifications

    Consultation: Recognition of Australian adviser qualifications. When the new regime is in force, we propose to recognise that individual Australian advisers demonstrate the competence, knowledge and skill standards set by the Code if they hold certain Australian adviser qualifications, and to confirm this in a statement on our website.
    Tags
    Financial Adviser, Roles, Consultations, Business
    Type
    Page

  12. 13 November 2020

    Bitcoin Future

    We are concerned that Bitcoin Future has the hallmarks of a scam. We recommend exercising caution before dealing with this entity as it is not registered company or financial service provider in New Zealand.
    Tags
    Suspected scam, Scams
    Type
    Page

  13. 17 December 2020

    Paradox Therapeutics

    We recommend exercising caution when dealing with Paradox Therapeutics. Paradox Therapeutics representatives have made unsolicited calls to New Zealand residents offering investment in the entity.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  14. 24 September 2021

    Suspected scam involving persons purporting to be from the FMA

    The FMA is aware of an individual by the name of Evan Francisco, purporting to be an 'Admin Officer' from the FMA, calling New Zealand residents to offer assistance with the recovery of funds invested in a previous scam.
    Tags
    Suspected scam, Consumer, Scams
    Type
    Page

  15. 4 October 2021

    bitsharechain.com

    The website is currently not operative but we believe there were false claims made on this website that they are connected with a company incorporated in New Zealand – Bit Management Limited. Bit Management Limited has confirmed that they do not operate and are not associated with this website.
    Tags
    Imposter website, Suspected scam, Consumer, Scams
    Type
    Page