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Found 3786 results. Displaying page 55 of 253

  1. 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

  3. 24 August 2016

    Aug 2016 Regulatory response guidelines

    This is a guide on how we regulate financial markets and the responses we use in enforcing legislation. It is for all individuals and businesses involved in providing financial market products and services.
    Tags
    FMA people, Regulation, Business, FMA
    Type
    PDF, Guidance

  4. 25 August 2017

    Macoo Capital Group Limited

    Macoo Capital Group Limited is not registered to provide financial services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  5. 23 February 2023

    NZGT DBG

    NZGT DBG including: 27 Finance Limited, Covenant Trustee Services Limited, Koios Finance Limited, The New Zealand Guardian Trust Company Limited, NZGT (FP) Trustee Limited, NZGT (IF) Trustee Limited, NZGT (GF) TRUSTEE LIMITED, NZGT (TASMAN) TRUSTEE LIMITED, NZGT (UDC) TRUSTEE LIMITED, NZGT FACILITY AGENT LIMITED.
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  6. 22 December 2023

    CBL Corporation and four independent directors ordered to pay penalties for conduct including reckless and careless breaches of the Financial Markets Conduct Act

    The High Court has ordered CBL Corporation Limited (CBLC) and four of its former directors to pay penalties for continuous disclosure and misleading conduct breaches following proceedings brought by the FMA under the Financial Markets Conduct Act 2013.
    Tags
    Media release, Enforceable undertaking, Powers, Financial Institutions, Business, News & Insights, Enforcement
    Type
    Page

  8. 20 March 2023

    WARNING: Validus

    WARNING: Validus is not registered to provide financial services in New Zealand.
    Tags
    Suspected scam, Scams
    Type
    Page

  9. 23 April 2018

    Woodward Partners Panama

    Woodward Partners Panama is not a registered financial services provider and therefore not able to legally offer financial services in New Zealand.
    Tags
    Investor information, Unregistered business, Consumer
    Type
    Page

  10. 1 January 2011

    Liberty Global Partners

    Liberty Global Partners is not registered as a Financial Services provider in New Zealand and is therefore not allowed to offer financial services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  11. 1 January 2011

    Millennium FX

    Millennium FX is not registered as a Financial Services provider in New Zealand and is therefore not allowed to offer financial services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  12. 1 January 2011

    Herrand Associates

    Herrand Associates is not registered as a Financial Services provider in New Zealand and is therefore not allowed to offer financial services in New Zealand.
    Tags
    Unregistered business, Investor warning, Consumer, Scams
    Type
    Page

  14. 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

  15. 28 February 2018

    Expat Local

    Expat Local is not registered as a Financial Services provider in New Zealand and is therefore is not allowed to offer financial services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page