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Found 2376 results. Displaying page 124 of 159

  1. 24 February 2016

    WGM Group Limited

    WGM Group Limited, trading as Belfor FX, has been deregistered from the Financial Service Providers Register and is not registered to provide financial services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  2. 1 February 2016

    Belfor FX (WGM Group Limited)

    Belfor FX has been deregistered from the Financial Service Providers Register and is not registered to provide financial services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  3. 1 November 2013

    Privilege Trading House Limited

    False/misleading advertising; and persons offering financial services in NZ without appropriate registration or authorisation from FMA.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  4. 1 September 2013

    Bureau of Financial Trading

    Bureau of Financial Trading offer financial services in NZ without appropriate registration and have false advertising on their website.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  5. 2 August 2016

    IntegraOption

    Warnings issued by the Swiss Financial Market Supervisory Authority (FINMA) in relation to IntegraOption.
    Tags
    International regulator alerts, Scams
    Type
    Page

  8. 20 February 2018

    Conduct Outcomes Report

    This report outlines how we responded to the areas of misconduct we saw during 2017. It also gives an overview of our supervision activity for the parts of the financial services industry we regulate.
    Tags
    AML/CFT, Crowdfunding providers, Cryptocurrencies, Directors, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Independent trustee, Roles, Reports and Papers, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    Page, Report

  9. 10 December 2021

    Outsourcing CDD to a third-party provider

    Section 34 of the AML/CFT Act allows a reporting entity to authorise and rely on an agent to conduct CDD procedures on its behalf. An agent is a person that has legal authority to represent another party. If you outsource the above CDD procedures under section 34 to a third-party provider, the provider must be acting as your agent. In these circumstances, you remain responsible for ensuring that the CDD conducted by the third-party provider is undertaken to the level required by the AML/CFT Act. Read the full guidance on this page.
    Tags
    AML/CFT, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Financial Adviser, Roles, Business
    Type
    Page, Guidance

  10. 2 April 2024

    NZX Notices archive

    See here the list of notices issued by FMA under Financial Market Conduct Act (FMCA).
    Tags
    Type
    Page, Notice

  11. 12 December 2023

    Bank of China – Fake term deposits

    A scam offering fake term deposits using the name of Bank of China (New Zealand) is targeting New Zealanders. Scammers are sending out highly professional-looking product disclosure statements featuring Bank of China’s name, logo, address and registration details.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  12. 22 December 2020

    elezenocap.com

    We are concerned that www.elezenocap.com may be operating a scam and are withholding invested funds.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  13. 17 June 2019

    Willow Group Limited

    Willow Group Limited is not registered nor licensed to provide financial services in New Zealand. We have received a report of Willow Group Limited making unsolicited contact with New Zealand residents offering investment services from Hong Kong. Read more.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  14. 17 March 2023

    Rock Wealths Limited

    INVESTOR WARNING: Rock Wealths offers investment plans with unrealistically high returns on crypto products and purports to be based in New Zealand but is not registered on the Financial Service Providers Register (FSPR).
    Tags
    Type
    Page

  15. 15 June 2022

    Adviser profile – Andrea Reid of Aliya Insurance Brokers

    Andrea Reid of Aliya Insurance Brokers shares how applying for a Financial Advice Provider (FAP) licence has helped her build a better business one step at a time.
    Tags
    Financial Advice Provider, Roles, Insights, Article, Business, News & Insights
    Type
    Page