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Found 3775 results. Displaying page 138 of 252

  1. 9 November 2018

    CF Group

    CF Group, and the app is not associated with a New Zealand registered financial service provider.
    Tags
    Suspected scam, Scams
    Type
    Page

  2. 1 November 2013

    Capital Alliance Limited

    Offers Financial Services in New Zealand without appropriate Registration.
    Tags
    Investor warning, Consumer
    Type
    Page

  3. 20 July 2021

    Offer disclosure for equity and debt offers

    Issuers are involved in first making a financial product available. The FMC Act has requirements for financial product offer information. See those requirements, financial reporting obligations, accountability framework for managed investment schemes and debt securities on this page.
    Tags
    Compliance, Offer disclosure for equity and debt offers, Obligations, FMC Act, Roles, Legislation, Business
    Type
    Page

  4. 30 November 2022

    Fair Conduct Programmes information sheet

    This information sheet provides information and examples to help entities establish, implement and maintain their fair conduct programmes (FCPs). It will be useful for entities holding or applying for a licence to act as a financial institution under the Financial Markets Conduct Act 2013 (FMC Act), and anyone involved in establishing, implementing and maintaining an FCP.
    Tags
    Banking, Conduct, Insurance Providers, Financial Institutions, Business
    Type
    PDF

  5. 9 November 2014

    Consultation paper personalised DIMS under the FA Act 2008

    Consultation Paper - 19 November 2014 - The Financial Markets (Repeals and Amendments) Act 2013 introduces amendments to the Financial Advisers Act 2008 (the FA Act). This means for a person to be authorised to provide a Personalised DIMS they must meet the prescribed eligibility criteria.
    Tags
    Discretionary investment management scheme (DIMS), Consultations, Roles, Business
    Type
    PDF

  6. 8 March 2022

    Exemption Notice - IG Australia

    The Financial Markets Conduct (IG Australia Pty Limited) Exemption Notice 2022 provides relief to IG Australia Pty Limited (IG Australia) from certain financial reporting and audit obligations in the FMC Act and from certain assurance obligations and register entry requirements in the FMC Regulations.
    Tags
    FMC Act, Exemptions, Legislation, Business
    Type
    PDF

  8. 12 May 2017

    Pearson Investments LLC

    Pearson Investments is not incorporated in New Zealand nor registered on the FSPR therefore is not permitted to provide financial services to New Zealand residents.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  9. 12 April 2018

    Hakopa, Williams and Partners

    Hakopa, Williams and Partners is not a registered New Zealand Company and is not registered to provide financial services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  10. 26 June 2018

    Mace, Parry and Associates

    Mace, Parry and Associates is not a registered New Zealand Company and is not registered to provide financial services in New Zealand.
    Tags
    Unregistered business, Investor warning, Consumer, Scams
    Type
    Page

  11. 31 March 2020

    Speed Solutions Ltd

    Speed Solutions Ltd is not a registered company in New Zealand and is not registered on the New Zealand Financial Service Providers Register.
    Tags
    Unregistered business, Investor warning, Consumer, Scams
    Type
    Page

  12. 2 September 2021

    Gold Shore Marketing

    WARNING: Gold Shore Marketing is not a registered New Zealand company and is not registered to provide financial products or services to New Zealand residents.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  13. 22 September 2021

    Mabel Investment Company

    Mabel Investment Company Limited is not a registered New Zealand company and is not registered to provide financial products or services to New Zealand residents.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  14. 22 September 2021

    TraderFex

    TTraderFex is not a registered New Zealand company and is not registered to provide financial products or services to New Zealand residents.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  15. 27 May 2021

    Reliance Trading Co Limited

    Reliance Trading Co Limited is not a registered New Zealand company and is not registered to provide financial products or services to New Zealand residents.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page