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Found 5975 results. Displaying page 379 of 399

  1. 5 March 2007

    Huka Falls Resort Ltd

    The Huka Falls Resort Limited and the Director(Patrick Marinus Fontein) accepted that Securities have been offered to the public for subscription, without a registered prospectus or an investment statement, in contravention of the requirements of the Securities Act 1978 and the Securities Regulations 1983. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  2. 5 March 2007

    Kensington Park Properties Ltd

    The Kensington Park Properties Limited and the Directors(Patrick Marinus Fontein, Allan Graham Clarke) accepted that Securities have been offered to the public for subscription, without a registered prospectus or an investment statement, in contravention of the requirements of the Securities Act 1978 and the Securities Regulations 1983. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  3. 21 February 2005

    South Pacific Energy Limited and Calgary Petroleum

    South Pacific and Calgary offered undertakings to the Securities Commission after Commissions concern that they may have offered securities to the public in contravention of the Securities Act. The undertakings will ensure that no such breaches occur in the future. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  4. 20 June 2007

    Contributory Mortgage Investments Limited

    The Commission considered that CMI, CMN, Mr Martin and Mr van Nieuwkoop have failed to meet the standards of care and good governance that it expects from those who seek to raise funds from the public. Enforceable undertakings were offered to remedy the issues. Read more.
    Tags
    Investigations, Enforceable undertaking, Powers, Enforcement
    Type
    Page

  5. 3 February 2023

    WOLFBROOK CAPITAL LIMITED

    WOLFBROOK CAPITAL LIMITED (FSP1001203) is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Powers, Business, Enforcement
    Type
    Page

  6. 29 April 2024

    Fresh Insurance Limited

    Fresh Insurance Limited (trading name: FutureFunds) is an AML/CFT reporting entity.
    Tags
    AML/CFT, Roles, Business
    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

  11. 29 April 2024

    AML/CFT Customer Due Diligence – Companies

    This guidance assists reporting entities to conduct customer due diligence (CDD) under the AML/CFT Act 2009 on their customers who are companies. Published Oct 2022.
    Tags
    AML/CFT, Compliance, 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, Supervisor
    Type
    PDF, Information Sheet

  12. 29 April 2024

    AML/CFT Customer Due Diligence – Sole traders and partnerships

    This guidance assists reporting entities to conduct customer due diligence (CDD) under the AML/CFT Act 2009 on their customers who are sole traders, partnerships, or limited partnerships. Published April 2024.
    Tags
    AML/CFT, Compliance, 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, Supervisor
    Type
    PDF, Information Sheet

  13. 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

  14. 8 May 2024

    KOIOS FINANCE LIMITED

    KOIOS FINANCE LIMITED (previously Koru Finance Limited) is an AML/CFT reporting entity.

    Tags
    Type
    Page

  15. 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