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  1. 15 December 2022

    Pencarrow Private Equity Management Limited - Formal Warning

    We have formally warned Pencarrow Private Equity Management Limited for breaching record-keeping requirements under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act.
    Our investigation found Pencarrow had systemic failings in its retention of identity and verification records for customers who invested in its Fund V, during the period April to July 2018, in that the records were not readily accessible.
    Tags
    Type
    PDF

  3. 20 March 2020

    Tiger Brokers (NZ) Limited - Formal Warning

    FMA issued a formal warning to NZX-accredited broker Tiger Brokers (NZ) Limited for failing to have several adequate anti-money laundering protections in place. 20 March 2020.
    Tags
    AML/CFT, Roles, Business, Enforcement
    Type
    PDF

  4. 20 October 2022

    Black Robin Equity Limited and Westwood Terraces BRE Limited - Formal Warning

    The FMA has issued a formal warning to Black Robin Equity Limited and Westwood Terraces BRE 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 they 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, Roles, Business, Enforcement
    Type
    PDF

  5. 20 October 2022

    Du Val Capital Partners Limited and Du Val BTR GP Limited - Formal Warning

    The FMA has issued a formal warning to Du Val Capital Partners Limited and Du Val BTR 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 they 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, Roles, Business, Enforcement
    Type
    PDF

  6. 20 October 2022

    Provincia Property Fund Limited - Formal Warning

    The FMA issued a formal warning to Provincia Property Fund 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.
    Tags
    Offer disclosure for equity and debt offers, Roles, Business, Enforcement
    Type
    PDF

  8. 20 October 2022

    Williams Corporation Capital Partnership GP Limited - Formal Warning

    The FMA issued a formal warning to Williams Corporation Capital Partnership GP Limited following concerns that it 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.
    Tags
    Offer disclosure for equity and debt offers, Roles, Business, Enforcement
    Type
    PDF

  9. 20 October 2022

    Wolfbrook Capital Limited - Formal Warning

    The FMA issued a formal warning to Wolfbrook Capital 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.
    Tags
    Offer disclosure for equity and debt offers, Roles, Business, Enforcement
    Type
    PDF

  11. 20 October 2022

    Jasper NZ Investments Limited - Formal Warning

    The FMA issued a formal warning to Jasper NZ Investments Limited following concerns that it 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.
    Tags
    Offer disclosure for equity and debt offers, Roles, Business, Enforcement
    Type
    PDF

  13. 21 August 2020

    acentrustltd.com

    https://acentrustltd.com/ may be operating a scam
    Tags
    Imposter website, Suspected scam, Scams
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