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Found 2575 results. Displaying page 27 of 172

  1. 26 July 2019

    New Zealand launches ‘investment passport’

    Kiwi investors and managed funds will now be able to do business more easily with Australia, Japan and Thailand, after New Zealand’s implementation of the Asia Region Funds Passport (ARFP).
    Tags
    Media release, News & Insights
    Type
    Page

  3. 31 July 2023

    Standard 16 Custody and Investment Risks

    Standard 16 Custody and Investment Risks for designated Financial Market Infrastructures (FMIs).
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  7. 8 February 2024

    Wisdom House Investment Partners Limited

    FMA filed criminal charges against Yuen Pok (Paul) Loo of Wisdom House following offences under financial markets legislation. View the history and progress of the case on this page.
    Tags
    Stop Order, Powers, Licence cancellation, Financial Advice Provider, Financial Adviser, Roles, Court – criminal, Business, Enforcement
    Type
    Page

  9. 31 August 2022

    ROGER DICKIE (N.Z.) LIMITED

    ROGER DICKIE (N.Z.) LIMITED is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  10. 26 January 2022

    Smartshares NZ Dividend Fund (FND2408)

    Smartshares NZ Dividend Fund have been granted a Asia Region Fund Passport (ARFP)
    Tags
    Asia Region Funds Passport Register, Licensed entity, Business
    Type
    Page

  12. 13 December 2021

    Co-op Money NZ DBG

    Co-op Money NZ DBG including: Co-op Money NZ, and
    Co-op Services NZ
    Tags
    AML/CFT, Roles, Designated Business Group (DBG), Business
    Type
    Page

  14. 23 June 2020

    CLSA Premium New Zealand Limited (CLSAP NZ)

    CLSA Premium New Zealand Limited (CLSAP NZ) was ordered to pay a total pecuniary penalty of $770,000 for breaches of the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act, following proceedings brought by the FMA.
    Tags
    Enforceable action, Court – civil, Licence conditions, Powers, Derivative Issuer, Roles, Business, Enforcement
    Type
    Page