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Found 1208 results. Displaying page 2 of 81

  1. 17 January 2023

    Cigna Life Insurance New Zealand Limited

    Cigna Life Insurance New Zealand Limited has admitted to making false and/or misleading representations to customers in proceedings brought by the FMA. This page documents the timeline of enforcement activity.
    Tags
    Misleading statement, Court – civil, Powers, Enforcement
    Type
    Page

  2. 6 May 2010

    Stock & Share Trading Company Pty Limited

    FMA cautioned investors to be wary of unsolicited offers being made by Stock & Share Trading Company Pty Limited for shares and other securities. Stock & Share's offers are often significantly less than the market value of the securities. Read more.
    Tags
    Type
    Page

  3. 21 December 2011

    Stock & Share Trading Company Pty Ltd

    FMA asked Stock & Share Trading Company Pty Ltd for an enforceable undertaking and issued warning disclosure order to include FMA warning letter with any unsolicited offer they make to ensure investors make an informed decision. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  5. 31 August 2022

    BALMER JEFFS & COMPANY LIMITED

    BALMER JEFFS & COMPANY LIMITED is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  6. 1 November 2016

    FSF Management Company Limited

    FSF Management Company Limited, FSP245925, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  7. 31 October 2015

    Balmer, Jeffs & Company Limited

    Balmer, Jeffs & Company Limited, FSP14261, is licensed to provide Discretionary Investment Management Services (DIMS).
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page

  8. 31 August 2022

    MAGNA TRUST COMPANY LIMITED

    MAGNA TRUST COMPANY LIMITED is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  10. 31 August 2022

    Willis Bond and Company Limited

    Willis Bond and Company Limited is an AML.CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  11. 8 June 2017

    Vivier and Company Limited (Vivier)

    FMA considered Vivier’s New Zealand FSP registration to be misleading as all its services were mostly in Europe and directed that Vivier be deregistered as an FSP. Read more.
    Tags
    Enforcement
    Type
    Page

  12. 6 August 2018

    Caledonia Investment Company Limited

    Caledonia Investment Company Limited is not a registered financial service provider in New Zealand.
    Tags
    Unregistered business, Investor warning, Consumer, Scams
    Type
    Page

  13. 23 July 2021

    Vivier and Company Limited

    Vivier and Company Limited
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  14. 22 September 2021

    Mabel Investment Company

    Mabel Investment Company Limited is not a registered New Zealand company and is not registered to provide financial products or services to New Zealand residents.
    Tags
    Investor warning, Unregistered business, Consumer
    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