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  2. 16 April 2018

    Consultation paper: Including an annual declaration of compliance in regulatory returns and updating the standard regulatory returns condition

    Consultation paper: Including an annual declaration of compliance in regulatory returns and updating the standard regulatory returns condition. Read more.
    Tags
    Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Managed investment schemes, Peer-to-peer lending service providers, Consultations, Roles, Business
    Type
    Page

  3. 17 April 2015

    Todd Family Office Limited

    Todd Family Office Limited, FSP41181, is licensed to provide Discretionary Investment Management Services (DIMS).
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page

  4. 1 November 2015

    Trustees Executors Limited

    Trustees Executors Limited, FSP37383, is licensed to provide Discretionary Investment Management Services (DIMS).
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page

  5. 3 February 2021

    Ploutos Wealth Management Limited

    Allan John Williams trading as Ploutos Wealth Management Limited is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  8. 27 October 2015

    SPG and SPGI director Andrew Robinson sentenced

    Former company director (SPG and SPGI) and financial adviser, Andrew Hrothgar Robinson, has been sentenced in the Auckland High Court. Read more.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  10. 31 August 2022

    TRUSTEES EXECUTORS LIMITED

    TRUSTEES EXECUTORS LIMITED is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  11. 31 August 2022

    NEW ZEALAND DEPOSITORY LIMITED

    NEW ZEALAND DEPOSITORY LIMITED is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  13. 31 August 2022

    TOTARA WEALTH MANAGEMENT LIMITED

    TOTARA WEALTH MANAGEMENT LIMITED is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  14. 16 August 2013

    Dominion Finance directors sentenced

    Vance Eric Arkinstall, Richard Gilbert Bettle, and Paul Winston Forsyth were sentenced to home detention, community work and ordered to pay reparations. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  15. 5 February 2013

    Two more directors plead guilty in Capital + Merchant Finance case

    Robert Gordon Sutherland and Colin Gregory Ryan, who reside in Australia, pleaded guilty to two charges of making an untrue statement in a registered prospectus and one charge of distributing advertisements which included an untrue statement. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page