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Found 3230 results. Displaying page 58 of 216

  1. 12 March 2015

    MSL Capital Markets Limited

    We issued a formal warning to MSL for failing to perform its audit of its AML/CFT risk assessment and AML/CFT programme by 31 October 2014 and to provide a copy of the audit report to us.
    Tags
    AML/CFT, Enforceable action, Roles, Formal warning, AML/CFT formal warning, Powers, Business, Enforcement
    Type
    Page

  2. 23 January 2015

    Notification of Warning: individual trader – market manipulation

    The Financial Markets Authority has issued a warning to an individual in relation to suspected market manipulation. Following an investigation by the FMA, it concluded that trading by the individual in question has likely breached the Securities Markets Act 1988. Read more.
    Tags
    Market manipulation, Enforcement
    Type
    Page

  3. 17 December 2014

    South Canterbury Finance (SCF)

    The accused are Edward Sullivan, Robert White, Lachie McLeod, Terrence Hutton, Graham Brown. The SFO has laid 21 charges in total with FMA's assistance. The charges are laid under provisions of the Crimes Act: sections 220 (theft by person in special relationship), 240 (inducing by deception), 260 (false accounting) and 242 (false statement by promoter). Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  6. 24 April 2024

    Hz-cap.com - Imposter, unsolicited offer

    Hz-cap.com has been cold calling New Zealand residents, attempting to offer an investment in Starlink IPO. Unsolicited offers of financial products are prohibited in New Zealand.
    Tags
    Imposter website, Scams
    Type
    Page
    • Suspected scam

    1 May 2024

    Equity Budget – Suspected scam

    We recommend caution when dealing with Equity Budget. Equity Budget is making false claims about being an investment company and being a registered New Zealand company.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  8. 10 May 2024

    CapitalGroup DBG

    CapitalGroup DBG and the following entities are under DBG and the AML reporting entities list.
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  9. 13 May 2024

    Report a scam

    If you suspect you have been targeted by an investment or financial scam, report the scam to the FMA.
    Tags
    Suspected scam, Scams
    Type
    Page
    • Imposter website

    20 May 2024

    CapitalGrowthLTD.net – Imposter website

    We recommend caution when dealing with the website CapitalGrowthLTD.net as it is an imposter website.
    Tags
    Imposter website, Investor warning, Consumer, Scams
    Type
    Page

  15. 1 May 2024

    Real life scam stories

    Around one in five Kiwis has been targeted by an investment scam, real stories of everyday Kiwis who lost money to investment scams – but took positive action by reporting it to the FMA and then sharing their stories so others can see what scams look like.
    Tags
    Scams
    Type
    Page