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Found 6592 results. Displaying page 367 of 440

  1. 1 August 2013

    AML/CFT wire transfers fact sheet

    The AML/CFT wire transfers fact sheet describes: what a wire transfer is, who are the parties to a wire transfer and what are the responsibilities placed on reporting entities that are Ordering, Intermediary, or Beneficiary Institutions.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  2. 8 July 2011

    Share Buyers Limited (Share Buyers)

    We make the following order against Share Buyers and Share Buyers Associates.
    Tags
    Cases, Direction Order, Powers, Enforcement
    Type
    Page

  3. 12 March 2015

    MSL Capital Markets Limited

    We issued a formal warning to MSL for failing to perform its audit of its AML/CFT risk assessment and AML/CFT programme by 31 October 2014 and to provide a copy of the audit report to us.
    Tags
    AML/CFT, Enforceable action, Roles, Formal warning, AML/CFT formal warning, Powers, Business, Enforcement
    Type
    Page

  4. 3 May 2016

    Craigs Investment Partners Limited

    The FMA conducted an investigation into potential breaches of the Anti-Money
    Laundering and Countering Financing of Terrorism Act 2009 in relation
    to Craigs. Read more.
    Tags
    AML/CFT, Roles, Formal warning, Powers, AML/CFT formal warning, Business, Enforcement
    Type
    Page

  5. 1 February 2022

    保护您的财富 在虎年守护您来之不易的积蓄

    The FMA has put together some tips on how you can look after your hard-earned savings and protect your wealth in 2022, the Year of the Tiger. This is the Mandarin version of our campaign page.
    Tags
    Investor information, FMA stories, Consumer, News & Insights
    Type
    Page

  7. 4 October 2021

    Avan Investment

    We are concerned that Avan Investment is involved in a scam. There are false and misleading claims on its website that Avan Investment is a member of the Investment Industry Regulatory Organization of Canada (IIROC) and is authorised and regulated by the Financial Conduct Authority (FCA). We do not believe these statements are true.
    Tags
    Suspected scam, Consumer, Scams
    Type
    Page

  8. 9 March 2017

    FMA files charges for insider trading

    The FMA has filed charges in the Auckland District Court alleging breaches of the insider trading prohibitions contained in the Financial Markets Conduct Act 2013 (FMCA). The charges were filed in relation to trading in shares of Eroad (NZX:ERD). The individuals charged are a current and a former Eroad employee.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  9. 12 January 2016

    NZMDT Market Rules 2016

    This notice allows for the NZX to replace the NZ Markets Disciolinary Tribunal Rules date 16 April 2015 with the NZMDT Rules provided to the FMA on 11 Nov 2015
    Tags
    Market operator, Roles, Business
    Type
    PDF, Notice

  10. 5 June 2020

    Pacific Scams DLE in English

    This Scams information sheet was designed for Pacific Island audiences to quickly identify if they've been scammed and find out whom to contact. The sheet has been designed to be printed.
    Tags
    Investor information, Consumer, Scams
    Type
    PDF

  11. 15 July 2016

    Archer Capital (Pty) Limited (Archer) and Healthcare Industry Limited (HIL)

    FMA initiated civil proceedings against Archer Capital (Pty) Limited and Healthcare Industry Limited (HIL) for alleged breaches of the substantial shareholder disclosure obligations contained in the Securities Markets Act 1988, in relation to shares in Abano Healthcare Group Limited (Abano). Read more.
    Tags
    Court – civil, Powers, Enforcement
    Type
    Page

  12. 30 October 2018

    Pacific Eagle Capital (PEC)

    The Financial Markets Authority (FMA) has issued an infringement notice to Pacific Eagle Capital (PEC) for failing to file financial statements by its due date. Read more.
    Tags
    Infringement notice, Powers, Enforcement
    Type
    Page

  13. 1 May 2013

    E1 Asset Management, Inc.

    E1 Asset Management is not registered or authorised in NZ to offer share broking and financial adviser services.
    Tags
    International regulator alerts, Scams
    Type
    Page

  14. 8 October 2021

    Guide to taking part in a rights issue

    FMA article about taking part in a rights issue or rights offer.
    Tags
    Shares, Ways to invest, Investing, Article, Consumer, News & Insights
    Type
    Page

  15. 13 November 2019

    Guide to diversifying

    FMA guide to how and why you should diversify your investments.
    Tags
    Bonds, Managed funds, Shares, Ways to invest, Investing, Article, Consumer, News & Insights
    Type
    Page