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Found 3230 results. Displaying page 135 of 216

  1. 4 March 2024

    Seaton Trustees – Imposter website

    The FMA recommends caution when dealing with Seaton Trustees. We are aware of an investor being unable to recover money invested through its website seatontrustees.org.
    Tags
    Imposter website, Investor warning, Consumer, Scams
    Type
    Page

  2. 1 April 2024

    Forsyth Barr DBG

    Forsyth Barr DBG, including Forsyth Barr Limited, Forsyth Barr Group Limited, Forsyth Barr Custodians Limited, Forsyth Barr Investment Management Limited, Forsyth Barr Cash Management Nominees Limited, Leveraged Equities Finance Limited, Tempo Limited and Octagon Asset Management Limited
    Tags
    Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  4. 4 April 2024

    NZX Wealth Investments – Imposter website

    The FMA recommends caution when dealing with NZX Wealth Investments and its website nzxwealth.com. It is not authorised by, nor associated with the New Zealand company,
    Tags
    Suspected scam, Scams
    Type
    Page

  5. 4 April 2024

    Financial Markets Conduct Clearwater Golf Club Limited Exemption Notice 2024

    Clearwater Golf Club Limited (Clearwater) is exempted from Part 7 of the Financial Markets Conduct Act 2013 (the FMC Act). The Exemption Notice is subject to conditions which together replicate the financial reporting, auditing and annual reporting requirements under the Companies Act 1991.
    Tags
    Type
    PDF, Exemption notice

  6. 8 April 2024

    Standard Conditions for DIMS

    DIMS standard conditions, updated April 2024 explains the systems and procedures to maintain relevant records pertaining to your market service and the records you must provide to the FMA to enable us to monitor your on- going capability to effectively perform the DIMS in accordance with the applicable eligibility criteria in the Act.
    Tags
    Discretionary investment management scheme (DIMS), Standard conditions, Roles, Licensing & registration, Business
    Type
    PDF

  7. 2 April 2024

    NZX Notices archive

    See here the list of notices issued by FMA under Financial Market Conduct Act (FMCA).
    Tags
    Type
    Page, Notice

  10. 15 April 2024

    AC Finance Limited – Imposter website

    We recommend caution when dealing with AC Finance Limited and its website.
    Tags
    Imposter website, Investor warning, Consumer, Scams
    Type
    Page

  11. 15 July 2022

    GEK Property Management DBG

    GEK Property Management DBG including: Vulcan Mortgage (No. 3) Limited Partnership, Vulcan Mortgage Limited Partnership, Vulcan Mortgage (No. 2) Limited Partnership, GEK Property Management Limited, Mortgage Holdings Limited, and PFS Mortgage Portfolio Limited Partnership
    Tags
    Roles, AML/CFT, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  12. 15 April 2024

    Deutsche Bank DBG

    Deutsche Bank DBG including: Deutsche Bank AG (Sydney Branch), Deutsche Securities Australia Limited and Deutsche Capital Markets Australia Limited
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  13. 13 December 2021

    Maat Consulting Limited DBG

    Maat Consulting Limited is a DBG including: Maat Consulting Limited, Todd Park Investments Limited, Osterley Way Investments Limited, Cashel Property Investment Limited, 650 Great South Road Limited, Fred Thomas Property Investment Limited, Cameron Road Property Investment Limited, Bush Road Property Investments Limited, Phoenix Drive Property Investments Limited, The Hub Properties Limited and 210 Khyber Pass Investments Limited
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  14. 23 April 2024

    liquidity risk management guide

    This FMA guide outlines how Managers and Supervisors can demonstrate they are effectively managing and overseeing liquidity risk.
    Tags
    Managed Investment Schemes, Supervisors, Roles, Business, Managed investment schemes
    Type
    PDF, Guidance

  15. 7 April 2008

    Foodstuffs (Wellington) Co-Operative Society Limited

    The Foodstuffs (Wellington) Co-operative Society Limited and its directors undertakes that they will not offer securities to the public for subscription, other than in an investment statement, registered prospectus, or authorised advertisement that complies with the Securities Act and the Regulations, or in accordance with any applicable exemption granted by the Commission. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page