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Found 6592 results. Displaying page 354 of 440

  1. 17 April 2024

    AxonExchange – Imposter website, suspected scam

    The FMA recommends caution when dealing with AxonExchange and its associated websites. We are aware of an investor who has invested with AxonExchange and is now unable to withdraw funds.
    Tags
    Imposter website, Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  7. 19 April 2024

    Financial Markets Conduct (Goldman Sachs) Exemption Notice 2024

    The Financial Markets Conduct (Goldman Sachs) Exemption Notice 2024 (Notice) exempts exempt entities (being the Goldman Sachs Group, Inc and its subsidiaries (each being a GS entity and together the Goldman Sachs Group) and any related body corporate of a GS entity) from the substantial product holder disclosure obligations in sections 276 to 279 of the Financial Markets Conduct Act 2013 (the FMC Act).
    Tags
    Exemptions, Business
    Type
    Page, Financial Markets Conduct Act exemptions, Current, Exemption notice

  9. 1 March 2024

    Financial Markets Conduct (Climate-related Disclosures – Commonwealth Bank of Australia New Zealand) Exemption Notice 2024

    The Notice permits CBA to report only in relation to certain group members (CBA Group) and exempts CBA from reporting in relation to other group members (being ASB Holdings Limited and ASB Bank Limited and its subsidiaries) that are required otherwise to form part of the climate statements to be prepared for CBA’s New Zealand business under section 461ZB(3)(a) of the Act. With the exception of ASB Holdings Limited, the subsidiaries excluded from the CBA Group climate statements will be included in other climate statements pursuant to section 461ZA of the Act.
    Tags
    Exemptions, Business
    Type
    Page

  10. 18 October 2023

    Financial Markets Conduct (Product Disclosure Statements in Te Reo Māori and English) Exemption Notice 2023

    The Financial Markets Conduct (Product Disclosure Statements in Te Reo Māori and English) Exemption Notice 2023 provides an exemption for issuers of financial products who wish to provide their PDS in both te reo Māori and English, providing relief from the requirements in the FMC Regulations relating to the prescribed length limits and, if necessary, some prescribed statements and formatting.
    Tags
    Exemptions, Business
    Type
    Page

  12. 7 July 2005

    Braemar Lodge 2004 Limited

    Braemar Lodge 2004 Limited offered participatory securities for subscription in conjunction with individual unit titles under the Unit Titles Act 1972 without a registered prospectus, investment statement or deed of participation. Braemar and the directors(Neil Gurdjieff Dougan, Ernest Ross Thomson) were, at the time of the offer, unaware that the offers had been made in contravention of the Securities Act 1978. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  13. 5 March 2007

    Huka Falls Resort Ltd

    The Huka Falls Resort Limited and the Director(Patrick Marinus Fontein) accepted that Securities have been offered to the public for subscription, without a registered prospectus or an investment statement, in contravention of the requirements of the Securities Act 1978 and the Securities Regulations 1983. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  14. 5 March 2007

    Kensington Park Properties Ltd

    The Kensington Park Properties Limited and the Directors(Patrick Marinus Fontein, Allan Graham Clarke) accepted that Securities have been offered to the public for subscription, without a registered prospectus or an investment statement, in contravention of the requirements of the Securities Act 1978 and the Securities Regulations 1983. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  15. 7 July 2005

    Alpine Pacific Developments Limited

    Alpine Pacific Developments Limited has offered participatory securities for subscription in conjunction with individual unit titles under the Unit Titles Act 1972 since December 2004. It has done so without a registered prospectus, investment statement or deed of participation. No allotments of the securities have yet occurred. Alpine and the directors(Neil Gurdjieff Dougan, Ernest Ross Thomson) were, at the time of the offer, unaware that the offers had been made in contravention of the Securities Act 1978. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page