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Found 4106 results. Displaying page 53 of 274

  4. 2 September 2010

    Draft Code to Minister for Approval

    The Commissioner for Financial Advisers, David Mayhew has approved the draft Code of Professional Conduct for Authorised Financial Advisers, and sent it to the Minister of Commerce, Hon Simon Power for his approval.
    Tags
    Media release, News & Insights
    Type
    Page

  6. 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

  7. 17 March 2011

    Commission Warns About More Unsolicited Offers

    The Securities Commission is alerting investors to be wary of further unsolicited offers from NZ Investment Securities LP for Vector Limited shares and Carlyle Securities LP for Contact Energy shares.
    Tags
    Scams
    Type
    Page

  8. 4 August 2016

    Work to do on corporate governance disclosure, FMA finds

    The FMA has completed a review of corporate governance disclosures by 45 companies, listed and unlisted. Good corporate governance is one of the FMA’s strategic priorities because it is an important contributor to transparency and efficiency in capital markets. In 2014 the FMA published a Corporate Governance Handbook comprising nine corporate governance principles.
    Tags
    Directors, Governance, Reports and Papers, Roles, Media release, Business, FMA, News & Insights
    Type
    Page, Guidance

  9. 31 August 2022

    CHRIS LEE & PARTNERS LTD

    CHRIS LEE & PARTNERS LTD is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  10. 31 August 2022

    MORRISON & CO PIP LIMITED

    MORRISON & CO PIP LIMITED is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  11. 5 August 2015

    Fisher Funds Management Limited

    Fisher Funds Management Limited, FSP38581, is licensed to provide Discretionary Investment Management Services (DIMS).
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page

  12. 3 October 2016

    Forest Enterprises Limited

    Forest Enterprises Limited, FSP37784, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  13. 1 May 2011

    Weiss Rifkin & Partners

    Working in conjunction with Janco Lazard Transfer Company and EquiAsia
    Tags
    Suspected scam, Scams
    Type
    Page

  15. 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