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Found 6015 results. Displaying page 390 of 401

  1. 21 September 2015

    Murray Alcock and Allister Knight - SPI

    This criminal proceeding relates to allegations that Murray Alcock and Allister Knight, as Directors of SPI Capital Limited and SPI Property Limited, failed to deliver financial statements to the Registrar of Companies under ss 18(1) & 38(b) Financial Reporting Act 1993.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  2. 18 June 2015

    Milford Asset Management Limited

    The FMA has reached an agreement with Milford to resolve the issues relating to Milford (but excluding the trader) arising from the investigation. Read more.
    Tags
    Market manipulation, Enforcement
    Type
    Page

  3. 25 May 2015

    Pacific Edge Limited

    FMA issued warning on continuous disclosure obligations and secures $500,000 compensation payment from Pacific Edge Limited.
    Tags
    Settlement, Enforcement
    Type
    Page

  4. 7 August 2014

    Brian Peter Henry

    At the Auckland High Court, Mr Henry admitted FMA allegations that he breached the market manipulation prohibitions in the Securities Markets Act 1988, and a pecuniary penalty of $130,000 was imposed by the Court.
    Tags
    Cases, Market manipulation, Enforcement
    Type
    Page

  5. 6 March 2014

    Prudential Mortgage Limited

    Prudential Mortgage Limited has been convicted and fined $2,000 for failing to deliver its annual report to the Registrar of Companies by 30 June 2013.
    Tags
    Court – civil, Powers, Enforcement
    Type
    Page

  6. 13 December 2021

    AMP FSNZ DBG

    AMP FSNZ DBG including: AMP Services (NZ) Limited, AMP Wealth Management New Zealand Ltd, and Advicefirst Limited
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  7. 29 April 2024

    Guidance

    The guidance library contains the FMA’s guidance notes, information sheets, guides and other reference material.
    Tags
    Business
    Type
    Page, Guidance

  8. 29 April 2024

    AML/CFT customer due diligence: Limited Partnerships 2024 and sole traders and partnerships 2022

    Businesses can take many forms and may vary in size and complexity. The AML/CFT customer due diligence: sole traders and partnerships fact sheet focuses on the three business types - Sole trader, partnership and limited partnership. The fact sheet should be read in conjunction with the beneficial ownership guideline.
    Tags
    AML/CFT, Roles, Business, News & Insights
    Type
    Page, Guidance

  9. 11 August 2023

    Enforcement Activity

    Through our investigation and enforcement activities we aim to raise standards of behaviour, deter misconduct, and hold to account those whose conduct harms the fair, efficient and transparent operation of our financial markets. View our list of enforcement actions and cases on this page.
    Tags
    Cases, Enforceable action, Enforceable undertaking, Powers, Enforcement
    Type
    Page

  10. 23 April 2024

    Liquidity risk management guide

    Effective liquidity risk management is a fundamental capability that Managed Investment Scheme (MIS) managers need to implement, maintain and enhance. The guide is designed to assist managers and supervisors effectively manage and oversee liquidity risk.
    Tags
    Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Guidance

  11. 24 April 2024

    Hz-cap.com - Imposter, unsolicited offer

    Hz-cap.com has been cold calling New Zealand residents, attempting to offer an investment in Starlink IPO. Unsolicited offers of financial products are prohibited in New Zealand.
    Tags
    Imposter website, Scams
    Type
    Page
    • Suspected scam

    1 May 2024

    Equity Budget – Suspected scam

    We recommend caution when dealing with Equity Budget. Equity Budget is making false claims about being an investment company and being a registered New Zealand company.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  14. 29 April 2024

    AML/CFT customer due diligence: companies

    New Zealand companies are incorporated under the Companies Act 1993. Overseas companies that carry on business in New Zealand are also required to be registered under Part 18 of the Companies Act.
    Customer Due Diligence - Companies Section 11 of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the Act) requires you to conduct CDD on:
    - a customer;
    - any beneficial owner of a customer;
    - any person acting on behalf of a customer.
    Tags
    AML/CFT, Roles, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers, Supervisor
    Type
    Page, Guidance

  15. 29 April 2024

    AML/CFT Customer Due Diligence – Companies

    This guidance assists reporting entities to conduct customer due diligence (CDD) under the AML/CFT Act 2009 on their customers who are companies. Published Oct 2022.
    Tags
    AML/CFT, Compliance, Roles, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Managed investment schemes, Peer-to-peer lending service providers, Supervisor
    Type
    PDF, Information Sheet