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  7. 1 December 2012

    AML/CFT: Issuers of securities and participants in issues

    The AML/CFT: issuers of securities and participants in issues guide will help issuers of securities and participants in securities issues to determine if they have compliance obligations under the AML/CFT Act and if the FMA is their supervisor.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  9. 14 March 2024

    SPS Investment Services Limited/Wilby Securities

    We recommend caution when dealing with SPS Investment Services Limited and/or Wilby Securities and their websites.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  10. 14 December 2023

    Cyprus Securities and Exchange Commission – Imposter websites

    Imposter website alert: Cypress Securities Exchange Commission (CySEC) has warned that its website has been copied and scammers are impersonating its officials in a complex “recovery” scam.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  14. 6 August 2021

    The Great FMA Debate

    FMA Debates give industry heavyweights the chance to face off in public in a light-hearted, competitive debate over important matters affecting Kiwi investors.
    Tags
    Campaigns, Article, Consumer, News & Insights
    Type
    Page

  15. 18 March 2011

    Securities Commission Orders Whimp Partnerships to Correct 'Low Ball' Offers

    The Securities Commission has made orders against limited partnerships associated with Mr Bernard Whimp. The orders follow misleading offers made by the limited partnerships to buy shares in a number of listed companies. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page