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Found 1907 results. Displaying page 97 of 128

  1. 15 November 2023

    Fake FMA licence certificates

    We have received a large number of reports about fake FMA licence certificates being used to try and convince people to invest money with phony investment brokers.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  2. 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, Enforceable undertaking, Powers, Enforcement
    Type
    Page

  3. 7 July 2010

    Dominion and North South Finance Directors Charged

    The Securities Commission has laid criminal charges and issued civil proceedings against Dominion Finance Group Limited and North South Finance Limited directors Vance Arkinstall, Richard Bettle, Terence Butler, Ann Butler, Paul Forsyth and Robert Barry Whale. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  4. 13 April 2010

    Civil Proceedings Served on Lombard Finance & Investments Directors

    The Securities Commission has issued civil proceedings under the Securities Act against Lombard Finance & Investments directors Sir Douglas Graham, Michael Reeves, William Jeffries and Lawrence Bryant. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  5. 17 October 2016

    ANZ New Zealand Investments Limited

    ANZ New Zealand Investments Limited, FSP33221, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  6. 29 October 2018

    Oaza Nagashima Zaisanku

    The FMA recommends exercising caution before dealing with Oaza Nagashima Zaisanku
    Tags
    Suspected scam, Scams
    Type
    Page

  7. 26 July 2021

    virtualonecunion.com

    We are concerned that virtualonecunion.com (the website) may be operating a scam. The website falsely claims to be regulated by the Financial Markets Authority and subject to New Zealand Law.
    Tags
    Imposter website, Suspected scam, Consumer, Scams
    Type
    Page

  10. 2 May 2019

    GG Binary.com

    FMA recommends exercising caution before dealing with the website www.ggbinary.com. Read more.
    Tags
    International regulator alerts, Scams
    Type
    Page

  12. 29 March 2022

    FMA warning: Finsroyal.com unregistered and unlicenced

    WARNING: finsroyal.com does not hold a derivative issuer licence and is not registered as a financial service provider in New Zealand
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  13. 30 June 2015

    Disclosure of fees paid to auditors by listed issuers

    In our report, we advised market participants that we would continue to monitor the disclosure of audit and non-audit fee information by issuers, and follow up with another review to assess whether the quality of disclosures have improved.
    Tags
    Auditors, Directors, Offer disclosure for equity and debt offers, Roles, Reports and Papers, Business, News & Insights
    Type
    Page, Paper

  14. 31 July 2023

    FMA Outlook

    The FMA Outlook is a one-page summary providing our stakeholders with details of the FMA’s priority objectives and intended programme of work for the financial year.
    Tags
    FMA Outlook, FMA
    Type
    Page, Corporate publications