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  2. 18 September 2015

    Sentences delivered in OPI Pacific Finance case

    Two former directors of OPI Pacific Finance Limited, Mark Lawrence Lacy and Jason Robert Duncan Maywald, have been sentenced in the Auckland High Court. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  3. 31 August 2022

    RUSSELL INVESTMENT GROUP LIMITED

    RUSSELL INVESTMENT GROUP LIMITED is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  5. 1 July 2013

    FMA releases Investigations and Enforcement Report 2013

    The Financial Markets Authority (FMA) has released its Investigations and Enforcement Report on the key issues and themes arising in the last 12 months.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  6. 15 November 2012

    Release of PwC report into Ross Asset Management

    The Receivers and Managers' focus over the first five days of their appointment has been to identify and secure investment assets. After searching the custody accounts identified by Mr Ross and through wider searches in international investment markets, they have so far located investments of only $10.2 million. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  7. 31 August 2022

    SELECT WEALTH MANAGEMENT LIMITED

    SELECT WEALTH MANAGEMENT LIMITED is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  9. 26 April 2012

    FMA welcomes Petricevic sentencing

    Mr Petricevic sentenced to six and a half years imprisonment. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  11. 1 December 2019

    Financial Markets Conduct (Disclosure of Relevant Interests by Directors & Senior Managers) Exemption Notice 2019

    The Financial Markets Conduct (Disclosure of Relevant Interests by Directors and Senior Managers) Exemption Notice 2019 continues the relief granted in the Financial Markets Conduct (Disclosure of Relevant Interests by Directors and Senior Managers) Exemption Notice 2014, which is revoked at the close of 30 November 2019.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  12. 29 March 2011

    Commission Releases Risk Assessment for Sector

    The Securities Commission today released a risk assessment to help those it is responsible for supervising prepare to meet upcoming requirements of the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009.
    Tags
    Media release, News & Insights
    Type
    Page

  14. 1 July 2022

    Enterprise Angels DBG

    Enterprise Angels DBG including: Enterprise Angels Incorporated, EA GP Limited, EA Nominee Limited, Purpose Capital Limited, and Purpose Capital GP Limited
    Tags
    AML/CFT, Roles, Designated Business Group (DBG), Business
    Type
    Page