20 October 2022
Williams Corporation Capital Partnership GP Limited
The FMA has issued a formal warning to Williams Corporation Capital Partnership GP Limited following concerns that they may have failed to give disclosures to investors as required by Part 3 of the Financial Markets Conduct Act 2013 because it relied on the wholesale investor exclusion in circumstances where they were not entitled to. This is because some eligible investor certificates were incomplete.
Offer disclosure for equity and debt offers, Wholesale investing, Roles, Ways to invest, Investing, Conduct, Formal warning, Powers, Business, Consumer, Enforcement
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