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Found 1032 results. Displaying page 7 of 69

  2. 31 August 2022

    Securities Act (Amalgamations)

    Securities Act (Amalgamations) - expired exemption notice
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  3. 27 September 2022

    Securities Industry Association submission

    Consultation submission from Securities Industry Association, 1 Aug 2013: Practical implications of factsheet on Managing Intermediaries feedback
    Tags
    Consultations, Business
    Type
    PDF, Submission form

  4. 8 June 2017

    Innovative Securities Limited (ISL)

    FMA determined that the FSPR registration of Innovative Securities is or is likely to create a false or misleading appearance that it is an FSP in New Zealand and directed companies office to deregister it. Read more.
    Tags
    Enforcement
    Type
    Page

  5. 3 February 2023

    SUPERHERO SECURITIES LIMITED

    SUPERHERO SECURITIES LIMITED (FSP1002150) is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  7. 10 February 2023

    LONG BRIDGE SECURITIES LIMITED

    LONG BRIDGE SECURITIES LIMITED is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  14. 26 June 2018

    Tricom Securities Limited

    26 June 2018, We have received a report about a representative of the entity/website making unsolicited calls to New Zealand residents and offering to invest in shares. It could be involved in a scam.
    Tags
    Fake regulator, Suspected scam, Scams
    Type
    Page