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Found 3230 results. Displaying page 137 of 216

  1. 21 September 2015

    Murray Alcock and Allister Knight - SPI

    This criminal proceeding relates to allegations that Murray Alcock and Allister Knight, as Directors of SPI Capital Limited and SPI Property Limited, failed to deliver financial statements to the Registrar of Companies under ss 18(1) & 38(b) Financial Reporting Act 1993.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  2. 18 December 2013

    National Finance 2000 Ltd (NFL)

    FMA alleged that the directors (Trevor Allan Ludlow, Carol Braithwaite, Anthony Banbrook) made untrue statements in the registered prospectus for National Finance 2000 Limited. Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  3. 1 February 2013

    NZ finance company collapses (2006–2012)

    The scale and circumstances of the Finance industry failure since 2006 gave rise to concerns of inappropriate behaviour and breaches of the Securities Act and a programme of investigations into the failures was initiated. Read more.
    Tags
    Enforcement
    Type
    Page

  5. 29 April 2024

    AML/CFT customer due diligence: Limited Partnerships 2024 and sole traders and partnerships 2022

    Businesses can take many forms and may vary in size and complexity. The AML/CFT customer due diligence: sole traders and partnerships fact sheet focuses on the three business types - Sole trader, partnership and limited partnership. The fact sheet should be read in conjunction with the beneficial ownership guideline.
    Tags
    AML/CFT, Roles, Business, News & Insights
    Type
    Page, Guidance

  6. 11 August 2023

    Enforcement Activity

    Through our investigation and enforcement activities we aim to raise standards of behaviour, deter misconduct, and hold to account those whose conduct harms the fair, efficient and transparent operation of our financial markets. View our list of enforcement actions and cases on this page.
    Tags
    Cases, Enforceable action, Enforceable undertaking, Powers, Enforcement
    Type
    Page

  8. 23 April 2024

    Liquidity risk management guide

    Effective liquidity risk management is a fundamental capability that Managed Investment Scheme (MIS) managers need to implement, maintain and enhance. The guide is designed to assist managers and supervisors effectively manage and oversee liquidity risk.
    Tags
    Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Guidance

  9. 29 April 2024

    AML/CFT customer due diligence: companies

    New Zealand companies are incorporated under the Companies Act 1993. Overseas companies that carry on business in New Zealand are also required to be registered under Part 18 of the Companies Act.
    Customer Due Diligence - Companies Section 11 of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the Act) requires you to conduct CDD on:
    - a customer;
    - any beneficial owner of a customer;
    - any person acting on behalf of a customer.
    Tags
    AML/CFT, Roles, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers, Supervisor
    Type
    Page, Guidance

  10. 3 May 2024

    Warnings and alerts

    The suspected scam warnings and alerts list contains the names of businesses or individuals you should be wary of if you are planning to invest. View our list of suspected scams; fake regulators; international regulator alerts and imposter websites on this page.
    Tags
    Scams
    Type
    Page

  11. 16 April 2024

    Punakaiki Fund DBG

    Punakaiki Fund DBG includes: 2040 Ventures Limited (previous named: Lance Wiggs Capital Management Limited) and Punakaiki Fund Limited.
    Tags
    Reporting entities, AML/CFT, Roles, Business, Designated Business Group (DBG)
    Type
    Page

  12. 8 May 2024

    2040 Ventures Limited

    2040 Ventures Limited (previous named: LANCE WIGGS CAPITAL MANAGEMENT LIMITED) is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  13. 13 May 2024

    Guidance note for reporting entities Notifying customer of asset freeze or blocked transaction

    FMA, DIA and RBNZ – along with their partner agencies – MFAT and NZ Police – have provided a Guidance Note for duty holders that are AML/CFT reporting entities. The Guidance Note specifically relates to notifying a customer of an asset freeze or blocked transaction under the Russia Sanctions Act.
    Tags
    AML/CFT, Roles, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    PDF, Guidance

  14. 13 May 2024

    Guidance Note: For duty holders that are AML/CFT reporting entities

    FMA, DIA and RBNZ – along with their partner agencies – MFAT and NZ Police – have provided a Guidance Note for duty holders that are AML/CFT reporting entities. The Guidance Note specifically relates to notifying a customer of an asset freeze or blocked transaction under the Russia Sanctions Act.
    Tags
    AML/CFT, News, Roles, Authorised body under a FAP, Client money or property services provider, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers
    Type
    Page, Guidance