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Found 6592 results. Displaying page 374 of 440

  1. 31 July 2023

    Safe Trust Wealth – Unregistered, not based in NZ

    The Safe Trust website claims to be based and regulated in New Zealand while offering investment packages. Safe Trust is not registered on the FSPR nor licensed by FMA.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  2. 21 July 2022

    Research

    Research conducted by the FMA about financial service providers, products and consumers is published on this page.
    Tags
    News, News & Insights
    Type
    Page, Research

  3. 16 January 2012

    AML/CFT guide for small financial adviser businesses

    The AML/CFT guide for small financial adviser businesses is designed to help financial advisers working independently or in a small business comply with their obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations (together AML/CFT law).
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  4. 12 October 2023

    Unregistered businesses

    The FMA publishes the names of unregistered businesses that have been reported as offering financial services to New Zealanders.
    Tags
    Investor warning, Consumer
    Type
    Page

  5. 15 November 2023

    Fake FMA licence certificates

    We have received a large number of reports about fake FMA licence certificates being used to try and convince people to invest money with phony investment brokers.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  6. 18 January 2019

    Alliance Investment Limited

    Alliance Investment Limited are an unregistered, unregulated entity who are falsely holding out as being associated with legitimate company, Alliance Investments Limited.
    Tags
    Suspected scam, Scams
    Type
    Page

  7. 18 May 2018

    Anahera and Partners

    Anahera and Partners is not a registered New Zealand Company and is not registered to provide financial services in New Zealand.
    Tags
    Fake regulator, Suspected scam, Scams
    Type
    Page

  8. 14 July 2020

    StarkMarkets

    StarkMarkets is not a registered company or financial service provider in New Zealand. We are concerned that it has the hallmarks of a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  9. 28 November 2018

    BrighterTrade

    We note a recent warning published by the Australian Securities and Investments Commission (ASIC) in relation to Igoten OU also knowns as BrighterTrade.
    Tags
    Suspected scam, Scams
    Type
    Page

  10. 5 April 2023

    False FSP claims by Battle Steed AI

    Warning: Concerns raised about Battle Steed AI which claims to be registered on the FSPR and presents an invalid FSP number on its website.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  11. 17 January 2024

    Gender Pay Gap

    FMA is committed to meeting the milestones of Kia Toipoto - the Public Service Gender, Māori, Pacific, and Ethnic Pay Gaps Action Plan 2021-24.
    Tags
    FMA people, FMA
    Type
    Page

  12. 14 March 2024

    SPS Investment Services Limited/Wilby Securities

    We recommend caution when dealing with SPS Investment Services Limited and/or Wilby Securities and their websites.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  13. 14 March 2024

    Tradesafer – Suspected scam

    We recommend caution when dealing with Tradesafer/ Australian Trader/Tradesafer Group (Tradesafer) and its various websites.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  14. 22 June 2010

    ANZN and ING

    As part of this settlement ING and ANZN have accepted that some of the representations made in marketing material and by ANZ advisors may have breached the Fair Trading Act and they have agreed to make payments totalling $45 million to affected investors. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  15. 23 February 2011

    Nuplex Industries Limited

    The Commission alleged that from 22 December 2008 until 19 February 2009 Nuplex breached its continuous disclosure obligations under the NZX Listing Rules and the Securities Markets Act 1988 by failing to disclose to the market a breach of a banking covenant, and that both Nuplex and the directors are responsible for this failure. Read more.
    Tags
    Settlement, Enforcement
    Type
    Page