Back

Search results

Found 6016 results. Displaying page 44 of 402

  3. 30 June 2017

    Penalty judgment in the case of FMA v Warminger

    The High Court imposed a total penalty of $400,000 on Mark Warminger for two contraventions of the Securities Markets Act 1978. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  5. 31 August 2022

    COLLINS GROUP LIMITED

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

  8. 31 August 2022

    WISEPLANNING LTD

    WISEPLANNING LTD is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  10. 12 March 2018

    Financial Markets Conduct (Arria NLG Limited Scheme) Exemption Notice 2018

    Financial Markets Conduct (Arria NLG Limited Scheme) Exemption Notice 2018 exempts Arria NLG Limited (Arria), a company registered in New Zealand, from Part 3 of the Financial Markets Conduct Act 2013 (Act) in relation to a UK scheme of arrangement. Read more.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  11. 30 September 2015

    MILESTONE FINANCIAL SERVICES (SOUTHERN) LIMITED

    Milestone Financial Planning (Canterbury) 2016, FSP35702, is licensed to provide Discretionary Investment Management Services (DIMS).
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page

  12. 30 November 2016

    Britannia Financial Services Limited

    Britannia Financial Services Limited, FSP10221, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  13. 31 August 2022

    KINGSHIELD INVESTMENTS LIMITED

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

  14. 5 April 2018

    Markets Trading Ltd

    The Financial Conduct Authority (FCA), in the UK, issued a warning that Markets Trading Ltd is not authorised by the FCA and they believe it is carrying on regulated activities which require authorisation.
    Tags
    International regulator alerts, Scams
    Type
    Page

  15. 16 November 2017

    US International Investment Trade Authority

    The US International Investment Trade Authority is falsely claiming to be a financial services regulator and endorsing products and services from questionable sources.
    Tags
    Fake regulator, Scams
    Type
    Page