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Found 2363 results. Displaying page 102 of 158

  1. 22 June 2010

    Securities Commission Welcomes Commerce Commission Settlement with ANZ and ING

    The Securities Commission welcomes the settlement that relates to the Commerce Commission's investigation into alleged breaches of the Fair Trading Act 1986 by ANZN and ING and other entities in relation to the marketing, promotion and sale of the ING Diversified Yield Fund and ING Regular Income Fund. Read more.
    Tags
    Media release, News & Insights
    Type
    Page

  2. 13 December 2021

    Oxygen Global DBG

    Oxygen Global DBG including: Oxygen Global NZ Limited and Oxygen Global Pty Limited
    Tags
    AML/CFT, Roles, Designated Business Group (DBG), Business
    Type
    Page

  3. 13 December 2021

    Simplicity DBG

    Simplicity DBG including: SIMPLICITY NZ LIMITED and SIMPLICITY HOME LOANS LIMITED
    Tags
    AML/CFT, Roles, Designated Business Group (DBG), Business
    Type
    Page

  5. 9 August 2012

    New Chair for Financial Adviser Code Committee

    The Code Committee for Authorised Financial Advisers (AFAs) has elected David Ireland as Chair for the next 12 months.
    Tags
    Governance, Media release, FMA, News & Insights
    Type
    Page

  7. 1 February 2011

    Commission Takes Action Against Insured Group

    The Securities Commission has commenced civil proceedings against Insured Group Limited, formerly known as Lombard Group Limited, in relation to alleged breaches in 2007 and 2008 of the continuous disclosure provisions of the Securities Markets Act 1988. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  8. 1 May 2015

    Securities Act (NZX Limited)

    Securities Act (NZX Limited) expired exemption notice
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  9. 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

  10. 14 July 2015

    Aspiring Asset Management Limited

    Aspiring Asset Management Limited, FSP3141, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  11. 1 November 2015

    John Peter Milner

    John Peter Milner (Collaborative Consulting Ltd), FSP9761, is licensed to provide Discretionary Investment Management Services (DIMS).
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page

  12. 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

  13. 30 January 2015

    Harbour Asset Management Limited

    Harbour Asset Management Limited, FSP3241, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  14. 1 May 2011

    Donaldson and Turner

    Donaldson and Turner is a suspected scam
    Tags
    Suspected scam, Scams
    Type
    Page