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  3. 25 March 2024

    EU Peter Harris signed redacted

    Executive Undertaking for Corporation Limited (In Liquidation) (CBLC) managing director Peter Harris
    Tags
    Type
    PDF

  4. 1 April 2024

    Forsyth Barr DBG

    Forsyth Barr DBG, including Forsyth Barr Limited, Forsyth Barr Group Limited, Forsyth Barr Custodians Limited, Forsyth Barr Investment Management Limited, Forsyth Barr Cash Management Nominees Limited, Leveraged Equities Finance Limited, Tempo Limited and Octagon Asset Management Limited
    Tags
    Roles, Reporting entities, Business, Designated Business Group (DBG)
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    Page

  5. 8 April 2024

    Standard Conditions for Peer to peer

    If you are granted a peer-to-peer (P2P) lending service licence, the licence will be subject to the following conditions.
    Tags
    Standard conditions, Roles, Licensing & registration, Business, Peer-to-peer lending service providers
    Type
    PDF

  6. 8 April 2024

    Standard conditions for MIS

    If the FMA grants you a licence to act as a manager of a non-restricted and registered managed investment
    scheme (MIS manager licence), the licence will be subject to conditions set out in section 402 of the
    Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Standard conditions, Roles, Licensing & registration, Business, Managed investment schemes, Supervisor
    Type
    PDF

  7. 8 April 2024

    Standard Conditions for Crowd Funding

    If you are granted a crowdfunding service licence, the licence will be subject to these standard conditions.
    Tags
    Crowdfunding providers, Standard conditions, Roles, Licensing & registration, Business
    Type
    PDF

  8. 2 March 2023

    Direct Capital VI DBG

    Direct Capital VI DBG including: Direct Capital Limited, Direct Capital IV Management Limited
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
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    Page

  9. 13 December 2021

    Maat Consulting Limited DBG

    Maat Consulting Limited is a DBG including: Maat Consulting Limited, Todd Park Investments Limited, Osterley Way Investments Limited, Cashel Property Investment Limited, 650 Great South Road Limited, Fred Thomas Property Investment Limited, Cameron Road Property Investment Limited, Bush Road Property Investments Limited, Phoenix Drive Property Investments Limited, The Hub Properties Limited and 210 Khyber Pass Investments Limited
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
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    Page

  10. 15 April 2024

    Morrison & Co DBG

    Morrison & Co DBG including: Morrison & Co Employee Co-Invest (PIP2) Limited, Morrison & Co Employee Co-Invest (PIP3) Limited, Morrison Investment Management Limited, Morrison Infrastructure Management Limited, Morrison International Limited, Morrison & Co PIP Limited, Morrison & Co SPV Management Limited, Morrison & Co Property Investment Limited.
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  11. 15 April 2024

    NZ Funds DBG

    NZ Funds DBG including: New Zealand Administration Services Limited, New Zealand Funds Management Limited, New Zealand Funds Superannuation Limited
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  12. 13 December 2021

    Perpetual Guardian DBG

    Perpetual Guardian DBG including: NZ International Trustee Company Limited, Perpetual Trust Limited, Perpetual Guardian Investments Limited.
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  13. 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.
    Tags
    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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    Page

  14. 29 March 2023

    Vanguard

    FMA has issued a formal warning to Vanguard, for failing to lodge a required notice on the New Zealand Companies Office Disclose Register. A notice should have been lodged of an exercise of power taken against it, by the Australian Securities and Investment Commission (ASIC).
    Tags
    Formal warning, Powers, Enforcement
    Type
    Page

  15. 3 February 2023

    WOLFBROOK CAPITAL LIMITED

    WOLFBROOK CAPITAL LIMITED (FSP1001203) is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Powers, Business, Enforcement
    Type
    Page