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Found 2375 results. Displaying page 15 of 159

  4. 25 July 2015

    Capital + Merchant Finance Limited (CMF)

    FMA laid criminal charges and civil proceedings against five directors of CMF, Neal Nicholls, Owen Tallentire, Colin Ryan, Wayne Douglas and Robert Sutherland, under the Securities Act. These charges related to untrue statements in offer documents distributed in 2006. Read more.
    Tags
    Court – civil, Powers, Enforcement
    Type
    Page

  5. 2 July 2024

    Soul Capital Designated Business Group

    Soul Capital Designated Business Group (DBG) includes Soul Capital Limited, Te Pae ki te Rangi Limited Partnership.
    Tags
    Reporting entities, Roles, Business, Designated Business Group (DBG)
    Type
    Page

  7. 22 December 2023

    CBL Corporation and four independent directors ordered to pay penalties for conduct including reckless and careless breaches of the Financial Markets Conduct Act

    The High Court has ordered CBL Corporation Limited (CBLC) and four of its former directors to pay penalties for continuous disclosure and misleading conduct breaches following proceedings brought by the FMA under the Financial Markets Conduct Act 2013.
    Tags
    Media release, Enforceable undertaking, Powers, Financial Institutions, Business, News & Insights, Enforcement
    Type
    Page

  8. 24 February 2020

    SL Markets

    SL Markets may be involved in a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  9. 24 June 2020

    WDC Markets

    WDC Martkets may be operating a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  10. 13 July 2020

    World Markets

    World Markets and its website, https://worldmarkets.com/ have the hallmarks of a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  11. 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

  12. 17 January 2018

    GSI Markets

    The Financial Conduct Authority in the UK warns that GSI Markets is not authorised to provide financial services or products.
    Tags
    International regulator alerts, Scams
    Type
    Page

  13. 18 November 2019

    AG Markets

    AG Markets is not to provide financial advice services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  14. 2 November 2021

    CV Markets

    WARNING: CV Markets is not a registered entity, nor a registered financial service provider in New Zealand. As such, they are not registered to provide financial products or services to New Zealand residents.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  15. 1 March 2016

    ECN Markets

    ECN Markets is not registered to provide financial services in New Zealand.
    Tags
    Type
    Page