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Found 4106 results. Displaying page 50 of 274

  1. 13 July 2017

    Former RFA sentenced at Auckland District Court

    A former registered financial adviser, Anthony Wilson, who forged clients’ initials and falsely amended insurance applications has been sentenced to 150 hours of community work, 6 months community detention and ordered to pay reparations of $16,461.24.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  3. 19 May 2011

    Relief from Disclosure of Changes to KiwiSaver

    Changes to KiwiSaver in today's Budget Bill may be material to decisions about whether to invest in a KiwiSaver scheme.
    Tags
    KiwiSaver providers, Media release, Managed investment schemes, Roles, Business, News & Insights
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    Page

  6. 28 July 2015

    FMA’s Capital + Merchant Finance civil proceedings discontinued

    The FMA has discontinued its civil proceedings against the directors of Capital + Merchant Finance Limited. FMA considers that further time and cost of pursuing the civil proceeding would not be justified or in the public interest. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  8. 22 December 2015

    Development of legislative tools to support the FMC Act regime

    In order to fully implement the FMC Act we have been considering matters which may require support from class exemptions, frameworks, or methodologies and designations (the FMA’s legislative tools).
    Tags
    Regulation updates, FMC Act, Legislation, Business
    Type
    Page

  9. 15 July 2016

    FMA discontinues proceedings against Archer and HIL

    The Financial Markets Authority (FMA) has elected to discontinue the proceeding against Archer Capital (Pty) Limited (Archer) and Healthcare Industry Limited (HIL). The defendants, Archer and HIL, have accepted that the FMA was justified in investigating the conduct that is the subject of this claim. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  10. 27 July 2016

    Daniel Francis Barr Stevenson

    Daniel Francis Barr Stevenson, FSP488707, is a licensed Independent Trustee.
    Tags
    Independent trustee, Licensed entity, Roles, Business
    Type
    Page

  13. 15 November 2021

    Adler Acquisitions and Financial Services Inspectorate (Finansiell Tjänster Inspektorat)

    WARNING: The FMA received a complaint from a New Zealand resident who invested in shares with Adler Acquisition. Adler Acquisition issued the complainant a letter from Financial Services Inspectorate / Finansiell Tjänster Inspektorat, who purport to be a regulatory authority in Sweden, requesting the complainant make a payment to the regulator before the investor’s money can be released.
    Tags
    Fake regulator, Suspected scam, Consumer, Scams
    Type
    Page

  14. 13 December 2021

    JMIS DBG

    JMIS DBG including: Clarity Funds Management Limited, JMI Wealth Limited, and Select Wealth Management Limited
    Tags
    AML/CFT, Roles, Designated Business Group (DBG), Business
    Type
    Page