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Found 6278 results. Displaying page 386 of 419

  1. 29 July 2015

    Fiona Mary Judd

    Fiona Mary Judd, FSP31602, is licensed to provide Discretionary Investment Management Services (DIMS).
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page

  2. 14 October 2016

    Norfolk Mortgage Management Limited

    Norfolk Mortgage Management Limited, FSP31523, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  3. 7 November 2020

    Eden GP Limited

    Eden GP Limited (FSP761251) is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  4. 17 May 2021

    EKIWITY LIMITED

    Yash Appilla is an AML/CFT reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  5. 16 August 2019

    Koura Wealth Limited

    Koura Wealth Limited, FSP657491, is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  6. 31 August 2022

    BALLATER WEALTH MANAGEMENT LTD

    Ballater Wealth Management Ltd, FSP717091 are an AML/CFT reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  7. 3 October 2016

    Kiwibank Limited

    Kiwibank Limited, FSP19941, is a licensed derivatives issuer.
    Tags
    Derivative Issuer, Licensed entity, Roles, Business
    Type
    Page

  8. 19 December 2019

    LMAX NEW ZEALAND LIMITED

    Lmax New Zealand Limited, FSP612509, is an AML reporting entity supervised by the FMA.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  9. 30 November 2020

    Audit Quality Monitoring Report 2020

    Under the Auditor Regulation Act 2011 (AR Act),
    we must carry out a quality review of the systems,
    policies and procedures of registered audit firms
    and licensed auditors at least once every four
    years. Our reviews help improve audit quality and ensure
    audit opinions are reliable. This is our 2020 report.
    Tags
    Monitoring, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  10. 1 November 2014

    Declaration by individual relevant party such as owner

    Declaration form to be completed by an individual relevant party such as an owner when applying for a market services licence under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) and disclosure is required by relevant parties, as defined in regulation 189 of the Financial Markets Conduct Regulations 2014 (Regulations).
    Tags
    Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Managed investment schemes, Peer-to-peer lending service providers, Licensing & registration, Roles, Declaration, Business
    Type
    Word document, Application form

  11. 30 November 2015

    KVB Kunlun New Zealand Limited Waiver Notice

    KVB Kunlun New Zealand Limited Waiver Notice under section 68 of the Financial Markets Conduct Act 2013 PDS consideration unnecessary
    Tags
    Waivers, Business
    Type
    PDF

  13. 16 December 2020

    FMA Annual Report 2020

    The 2020 FMA Annual Report highlights our key work from the 2019/2020 financial year, including our response to the COVID-19 crisis, and a range of enforcement activity.
    Tags
    Type
    PDF, Annual report, Corporate publications

  14. 30 April 2010

    Corman Oil Limited

    Corman Oil Limited appealed to Securities Commission against a decision of Registrar of Companies to refuse registration of Corman Oil Limited prospectus dated 2 February 2010, in accordance with section 42 of the Securities Act 1978. Read more.
    Tags
    Misleading statement, Breach, Enforcement
    Type
    Page

  15. 12 December 2017

    Hanover Finance, Hanover Capital & United Finance

    These proceedings were issued under sections 55B, 55C, 55G and related sections of the Securities Act 1978. FMA has applied for compensation, declarations of civil liability, civil pecuniary penalties against each of the five directors and promoters - Mark Hotchin, Gregory Muir, Sir Tipene O'Regan, Bruce Gordon, Eric Watson and Dennis Broit. Read more.
    Tags
    Court – civil, Powers, Enforcement
    Type
    Page