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  1. 1 January 2016

    Banc de Binary Limited

    There are recent warnings issued by the Australian Securities and Investment Commission in relation to Banc de Binary Limited.
    Tags
    International regulator alerts, Scams
    Type
    Page

  2. 10 February 2023

    DE CAPITAL MANAGEMENT LIMITED

    DE Capital Management Ltd is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  3. 12 December 2013

    Comision Nacional de Mercado de Valores Spain - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Comision Nacional de Mercado de Valores Spain
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  5. 7 April 2020

    deVere New Zealand Limited

    deVere New Zealand Limited is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  6. 6 June 2019

    Morgan DeVere Corporate Finance Limited and director Rene Moorby

    These charges relate to Morgan DeVere Corporate Finance Limited and Director Rene Moorby for breaches of the Financial Service Providers (Registration and Dispute Resolution) Act.
    Tags
    Court – criminal, Powers, FSPR abuse, Enforcement
    Type
    Page

  8. 12 December 2013

    Commission de Surveillane du Secteur Financier Luxembourg - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Commission de Surveillane du Secteur Financier Luxembourg.
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  9. 12 December 2013

    Comisao do Mercado de Valores Mobiliarios Portugal - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Comisao do Mercado de Valores Mobiliarios Portugal
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  10. 6 June 2019

    Morgan DeVere fined $40,000 in first FMA case of company abuse of the FSPR

    Morgan DeVere Corporate Finance Limited (Morgan DeVere) has been fined $40,000 following its conviction at the Wellington District Court on two charges of breaching the Financial Services Providers (Registration and Dispute Resolution) Act 2008 (FSP Act). Read more.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  11. 4 November 2019

    FMA successfully defends FSPR appeal by FXBTG Financial Limited

    The Financial Markets Authority (FMA) has welcomed a High Court ruling upholding a direction by the FMA to de-register foreign exchange firm FXBTG Financial Limited.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  12. 21 September 2023

    IM Academy – Overseas warnings

    We recommend caution when dealing with IM Academy. Several overseas regulators have issued public warnings about IM Academy, including the recent warning issued by the Commission de Surveillance du Secteur Financier, Luxembourg (CSSF) on 24 May 2023
    Tags
    International regulator alerts, Investor warning, Consumer, Scams
    Type
    Page

  13. 8 June 2017

    Innovative Securities fails to overturn FSPR ruling

    The High Court has dismissed an appeal by Innovative Securities Limited against the FMA decision to de-register the company from the FSPR. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  14. 1 November 2012

    IB Capital FX (NZ) LLP

    This entity was registered on the Financial Service Providers Register but has been de-registered as it did not have a place of business in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer, Scams
    Type
    Page

  15. 3 May 2019

    Company convicted for abuse of the FSPR

    Morgan DeVere Corporate Finance Limited (Morgan DeVere) has been convicted at the Wellington District Court on two counts of breaching the Financial Services Providers Act 2008 (FSP Act) for falsely claiming it was registered on the Financial Services Providers Register (FSPR). A copy of the judgment can be found here. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page