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Found 4106 results. Displaying page 184 of 274

  3. 19 March 2021

    Jarden Securities Limited

    Jarden Securities Limited, FSP3202, is a licensed derivatives issuer.
    Tags
    Derivative Issuer, Licensed entity, Roles, Reporting entities, Business
    Type
    Page

  4. 16 November 2022

    Audit Quality Monitoring Report 2022

    The Audit Quality Monitoring Report for 1 July 2021 – 30 June 2022. This this year’s report emphasises that high-quality audits are vital to ensuring investors can make active choices based on clear, concise, and effective information.
    Tags
    Auditors, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF, Report

  5. 24 November 2017

    Fullerton Markets

    The FMA has issued a formal AML/CFT warning to Fullerton Markets. Read more.
    Tags
    AML/CFT, Enforceable action, Roles, Business, Enforcement
    Type
    Page

  6. 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

  7. 17 January 2018

    Trustees Executors Limited

    Trustees Executors Limited, FSP37383, is licensed by the FMA as Supervisor.
    Tags
    Roles, Licensed entity, Reporting entities, Business, Supervisor
    Type
    Page

  8. 17 January 2023

    Public Trust

    Published Trust, FSP24561, is licensed by the FMA as Supervisor.
    Tags
    Roles, Licensed entity, Reporting entities, Business, Supervisor
    Type
    Page

  9. 8 June 2017

    Vivier and Company Limited (Vivier)

    FMA considered Vivier’s New Zealand FSP registration to be misleading as all its services were mostly in Europe and directed that Vivier be deregistered as an FSP. Read more.
    Tags
    Enforcement
    Type
    Page

  10. 16 August 2019

    Viaduct Capital & Mutual Finance

    Paul Bublitz was found guilty of four charges of theft by a person in a special relationship and two charges of false statement by a promoter. He was sentenced to 3 years two months imprisonment for each of the charges, to be served concurrently. Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  11. 29 August 2021

    Sharesies Limited and Sharesies Nominee Limited

    The FMA has issued a formal warning to Sharesies for purposes of section 80 of Anti-Money Laundering and Countering
    Financing of Terrorism Act 2009
    We have reasonable grounds to believe that Sharesies have engaged in conduct that constitutes a civil liability act under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009.
    Tags
    AML/CFT, Roles, Formal warning, Powers, Business, Enforcement
    Type
    Page

  12. 12 March 2014

    Bridgecorp and Bridgecorp Investments (BIL)

    FMA alleged that the directors( Rodney Petricevic, Robert Roest, Bruce Davidson, Gary Urwin and Peter Steigrad) made untrue statements in the investment statements and registered prospectuses, prospectus extension certificates of Bridgecorp and BIL. They also made other false or misleading statements in Bridgecorp and BIL documents. Read more.
    Tags
    Enforcement
    Type
    Page

  13. 18 December 2012

    Credit SaILS

    FMA and the Commerce Commission have inquired into alleged contraventions of New Zealand law by some of the Companies in relation to the marketing, promotion and sale of an investment product called Credit Saleable Index Linked Securities (Credit SalLS). Read more.
    Tags
    Enforcement
    Type
    Page

  14. 22 December 2020

    Rodney McCall and Morgan Cooper Limited

    The FMA alleges Mr McCall contacted people and convinced them to ‘invest’ by transferring money into bank accounts he controlled. After incorporating a company, Morgan Cooper Limited, he further cold-called other investors to promote a foreign exchange investment service which did not exist.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  15. 11 May 2021

    PTT Limited, Steven Robertson and related parties

    Four companies were placed in liquidation over breach of financial markets legislation and case filed under Crimes act against Steven Robertson with the trial due in May 2019.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page