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  2. 30 June 2017

    Further updates for Forestlands investors

    As soon as an appropriate distribution method has been established by Forestlands, the FMA will decide whether to consent to the release of funds currently held on trust. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  3. 30 October 2015

    Bank of New Zealand

    The Bank of New Zealand, FSP25101, is licensed to provide Discretionary Investment Management Services (DIMS).
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page

  4. 7 September 2015

    Milestone Financial Services (Auckland) Limited

    Milestone Financial Services (Auckland) Limited, FSP305566, is licensed to provide Discretionary Investment Management Services (DIMS).
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page

  5. 1 December 2014

    Bruce John Kerr

    Bruce John Kerr, FSP367606, is a licensed Independent Trustee.
    Tags
    Licensed entity, Roles, Independent trustee, Business
    Type
    Page

  6. 21 September 2017

    Samuel Ellison Belk

    Samuel Ellison Belk, FSP562646, is a licensed Independent Trustee.
    Tags
    Independent trustee, Roles, Licensed entity, Business
    Type
    Page

  7. 31 August 2022

    MILFORD PRIVATE WEALTH LIMITED

    MILFORD PRIVATE WEALTH LIMITED is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Digital advice providers, Business
    Type
    Page

  8. 31 October 2015

    ASB Bank Limited

    ASB Bank Limited, FSP29003, is a licensed to provide Discretionary Investment Management Services (DIMS).
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page

  9. 14 August 2019

    JJ Lloyd and www.jjlloyd.com

    The FMA has issued a warning that JJ Lloyd is not registered on the New Zealand Financial Service Providers Register and could be involved in a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  10. 20 September 2019

    WFE Capital

    We are concerned that WFE Capital is involved in a scam. WFE Capital is not licensed or registered to provide financial services in either New Zealand or Hong Kong.
    Tags
    Suspected scam, Scams
    Type
    Page

  11. 24 April 2020

    Conduct expectations in response to COVID-19

    Conduct expectations in response to COVID-19. The FMA and other members of the Council of Financial Regulators (CoFR) are continuing to closely monitor the impact of COVID-19 on New Zealand’s financial system.
    Tags
    Client money or property services provider, COVID-19, Cryptocurrencies, Derivatives, Financial Adviser, Independent trustee, Market operator, Roles, Ways to invest, Investing, Business, Consumer, News & Insights
    Type
    Page

  12. 28 May 2020

    FMA warns financial adviser for advice to clients about COVID-19

    FMA has issued a formal warning to a financial adviser who made recommendations to clients that they urgently move their investments to ‘low risk’ funds in the wake of COVID-19. The adviser failed to clarify that the advice may not be suitable for all clients.
    Tags
    Financial Adviser, COVID-19, Media release, Roles, Business, News & Insights
    Type
    Page

  13. 15 July 2021

    forexdce.com

    We believe www.forexdce.com is involved in a scam. We have received a complaint from a New Zealand resident who has been persuaded by a person they met online to invest with the platform. The complainant is now having difficulties withdrawing funds from the platform.
    Tags
    Imposter website, Suspected scam, Consumer, Scams
    Type
    Page

  14. 26 August 2021

    RIVAL WEALTH LIMITED

    RIVAL WEALTH LIMITED (FSP30481) is licensed to provide DIMS
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page

  15. 18 June 2015

    Milford Asset Management to pay $1.5 million following FMA investigation

    The FMA has reached an agreement with Milford to resolve the issues relating to Milford (but excluding the trader) arising from the investigation, under which Milford has agreed to make payments totalling $1.5m. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page