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Found 6043 results. Displaying page 395 of 403

  1. 30 September 2022

    AIA

    The Auckland High Court has ordered life insurer AIA to pay a pecuniary penalty of $700,000 for making false and/or misleading representations to some customers.
    Tags
    Court – civil, Powers, Enforcement
    Type
    Page

  2. 1 August 2022

    Alliant Perpetual

    FMA issued an infringement notice to Alliant for failing to file financial statements by their due date.
    Tags
    Infringement notice, Powers, Enforcement
    Type
    Page

  3. 7 August 2014

    Brian Peter Henry

    At the Auckland High Court, Mr Henry admitted FMA allegations that he breached the market manipulation prohibitions in the Securities Markets Act 1988, and a pecuniary penalty of $130,000 was imposed by the Court.
    Tags
    Cases, Market manipulation, Enforcement
    Type
    Page

  4. 6 March 2014

    Prudential Mortgage Limited

    Prudential Mortgage Limited has been convicted and fined $2,000 for failing to deliver its annual report to the Registrar of Companies by 30 June 2013.
    Tags
    Court – civil, Powers, Enforcement
    Type
    Page

  5. 13 December 2021

    AMP FSNZ DBG

    AMP FSNZ DBG including: AMP Services (NZ) Limited, AMP Wealth Management New Zealand Ltd, and Advicefirst Limited
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  6. 23 April 2024

    Liquidity risk management guide

    Effective liquidity risk management is a fundamental capability that Managed Investment Scheme (MIS) managers need to implement, maintain and enhance. The guide is designed to assist managers and supervisors effectively manage and oversee liquidity risk.
    Tags
    Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Guidance

  7. 24 April 2024

    Hz-cap.com - Imposter, unsolicited offer

    Hz-cap.com has been cold calling New Zealand residents, attempting to offer an investment in Starlink IPO. Unsolicited offers of financial products are prohibited in New Zealand.
    Tags
    Imposter website, Scams
    Type
    Page
    • Suspected scam

    1 May 2024

    Equity Budget – Suspected scam

    We recommend caution when dealing with Equity Budget. Equity Budget is making false claims about being an investment company and being a registered New Zealand company.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  10. 29 April 2024

    AML/CFT customer due diligence: companies

    New Zealand companies are incorporated under the Companies Act 1993. Overseas companies that carry on business in New Zealand are also required to be registered under Part 18 of the Companies Act.
    Customer Due Diligence - Companies Section 11 of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the Act) requires you to conduct CDD on:
    - a customer;
    - any beneficial owner of a customer;
    - any person acting on behalf of a customer.
    Tags
    AML/CFT, Roles, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers, Supervisor
    Type
    Page, Guidance

  11. 29 April 2024

    AML/CFT Customer Due Diligence – Companies

    This guidance assists reporting entities to conduct customer due diligence (CDD) under the AML/CFT Act 2009 on their customers who are companies. Published Oct 2022.
    Tags
    AML/CFT, Compliance, Roles, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Managed investment schemes, Peer-to-peer lending service providers, Supervisor
    Type
    PDF, Information Sheet

  12. 29 April 2024

    AML/CFT Customer Due Diligence – Sole traders and partnerships

    This guidance assists reporting entities to conduct customer due diligence (CDD) under the AML/CFT Act 2009 on their customers who are sole traders, partnerships, or limited partnerships. Published April 2024.
    Tags
    AML/CFT, Compliance, Roles, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Managed investment schemes, Peer-to-peer lending service providers, Supervisor
    Type
    PDF, Information Sheet

  13. 10 May 2024

    AML/CFT customer due diligence: trusts

    A trust is an arrangement where a person (the settlor) gives money or property to another person (the trustee), to be held in trust for the benefit of either the trust’s beneficiaries, or a purpose recognised by law. The AML/CFT customer due diligence: trusts fact sheet should be read in conjuction with the beneficial ownership guideline.
    Tags
    AML/CFT, Roles, Independent trustee, News, Business, News & Insights
    Type
    Page, Guidance

  14. 26 September 2023

    Jarden Securities Limited DBG

    Jarden Securities Limited including: Jarden Securities Limited, Jarden Investment Nominees Limited, Jarden Principal Investments Limited, and Jarden Finance Limited
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  15. 16 April 2024

    Punakaiki Fund DBG

    Punakaiki Fund DBG includes: 2040 Ventures Limited (previous named: Lance Wiggs Capital Management Limited) and Punakaiki Fund Limited.
    Tags
    Reporting entities, AML/CFT, Roles, Business, Designated Business Group (DBG)
    Type
    Page