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  4. 10 May 2016

    Management bans and undertakings of non-participation

    Listed below are individuals who are precluded from engaging in certain activities in respect of the governance and/or management of companies as a consequence of action taken by the FMA.
    Tags
    Enforceable action, Enforcement
    Type
    Page

  7. 5 December 2022

    How to identify a product disclosure statement (PDS) or prospectus scam

    FMA has issued this article about how to identify and avoid PDS or prospectus scams as a result of an increase in fake investment documents targeting New Zealand investors.
    Tags
    Investor information, Suspected scam, Article, Consumer, News & Insights, Scams
    Type
    Page

  9. 19 March 2021

    Jarden Securities Limited

    Jarden Securities Limited, FSP3202, is a licensed derivatives issuer.
    Tags
    Derivative Issuer, Licensed entity, Roles, Reporting entities, Business
    Type
    Page

  10. 15 December 2022

    ASX 24 derivatives market and SGX-DT reviews released

    FMA has published the findings of its market operator obligations reviews for the Australian Securities Exchange Limited (ASX 24 derivatives market) and Singapore Exchange Derivatives Trading Limited (SGX-DT dairy derivatives market).
    Tags
    Media release, Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    Page

  12. 18 January 2023

    FAP Licensing Application Guide Class 3 questions

    FAP Licensing Application Guide Class 3 questions: This document contains the questions you will be asked when applying for a Class 3 Financial Advice Provider full licence. It should be read alongside our guide to full licensing.
    Tags
    Financial Advice Provider, Licence guide, Roles, Licensing & registration, Business
    Type
    PDF

  13. 11 September 2014

    Hayden and George Jones

    This criminal proceeding relates to allegations that Hayden and George Jones, as Directors of Heritage Park Taupo Limited and Heritage Park Investments Limited, failed to deliver financial statements to the Registrar of Companies under ss 18(1) & 38(b) Financial Reporting Act 1993.
    Tags
    Enforcement
    Type
    Page

  15. 5 November 2019

    alltrademarkets

    Alltrademarkets is not registered on the Financial Service Provider Registry of New Zealand, therefore, is not permitted to offer financial services to New Zealand residents.
    Tags
    Fake regulator, Suspected scam, Scams
    Type
    Page