Back

Search results

Found 2574 results. Displaying page 76 of 172

  1. 29 August 2013

    David Ross pleads guilty

    Wellington financial adviser David Robert Gilmour Ross (63) today pleaded guilty in the Wellington District Court to charges laid by the SFO and the FMA. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  2. 5 June 2014

    FMA confirms settlement with Strategic Finance Directors and Auditors

    FMA and the Receivers of Strategic, John Fisk and Colin McCloy of PwC, have finalised a settlement with the directors and auditors of Strategic. Under the terms of the settlement, the directors and auditors will pay to the Receivers of Strategic $22 million. Read more.
    Tags
    Media release, News & Insights
    Type
    Page

  3. 10 March 2021

    Consultation: New financial advice regime exemptions

    The Financial Services Legislation Amendment Act 2019 (FSLAA) will introduce a new regulatory regime for financial advice. We are considering where FMC Act exemptions may be useful to support the effective operation of the new regime.
    Tags
    New Financial Advice regime, Business
    Type
    Page

  4. 30 September 2019

    FMA launches managed funds guide for World Investor Week

    The FMA has published a new guide to managed funds following research suggesting more New Zealanders are considering alternative investments because of low interest rates.
    Tags
    Media release, Managed funds, Campaigns, Ways to invest, Investing, Consumer, News & Insights
    Type
    Page

  6. 22 July 2019

    NZX Wealth Technologies Limited

    NZX Wealth Technologies Limited, FSP487546, is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  8. 3 August 2011

    FMA completes NZX inquiry

    FMA has completed its inquiry into continuous disclosure issues in relation to comments made by Mr Mark Weldon, CEO of NZX Ltd, concerning the carrying value of its subsidiary Clear Grain Exchange.
    Tags
    Media release, News & Insights
    Type
    Page

  10. 31 August 2022

    ANZNZ COVERED BOND TRUST LIMITED

    ANZNZ COVERED BOND TRUST LIMITED is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  11. 31 August 2022

    NZFM PRINCIPAL PARTNERS LP

    NZFM PRINCIPAL PARTNERS LP is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  12. 22 July 2019

    NZX WT Nominees Limited

    NZX WT Nominees Limited, FSP560806, is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  13. 31 August 2022

    NZX Clearing DBG

    NZX Clearing DBG including: New Zealand Clearing Limited, New Zealand Depository Limited, and New Zealand Depository Nominee Limited
    Tags
    AML/CFT, Roles, Designated Business Group (DBG), Business
    Type
    Page

  15. 13 December 2021

    NZX Wealth Technologies Limited DBG

    NZX Wealth Technologies Limited DBG including: NZX Wealth Technologies Limited, NZX WT Nominees Limited, and NZX WT Nominees (Superannuation) Limited
    Tags
    AML/CFT, Roles, Designated Business Group (DBG), Business
    Type
    Page