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Found 1870 results. Displaying page 19 of 125

  1. 3 February 2023

    ROF FINANCIAL SERVICES LIMITED

    ROF FINANCIAL SERVICES LIMITED (FSP774191) is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  2. 13 July 2022

    Warning regarding unregistered business offering fake pre-IPO shares

    WARNING: The FMA is concerned that Enbridge International Consulting Limited (Enbridge) may be operating a scam via enbridgeconsulting.com (the website). We have received a report from a New Zealand resident about being cold called by Enbridge offering pre-IPO (Initial Public Offering) shares and unable to recover money paid to them.
    Tags
    Suspected scam, Scams
    Type
    Page

  4. 9 February 2023

    EARNSLAW GOODLIGHT PROFINANCE LIMITED

    EARNSLAW GOODLIGHT PROFINANCE LIMITED is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  6. 20 February 2023

    CoFI id guidance consultation paper

    This consultation paper seeks feedback on proposed guidance that outlines our expectations when financial institutions are distributing products and services through intermediaries, under the CoFI regime.
    Tags
    Banking, Consultations, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Business
    Type
    PDF

  7. 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

  10. 17 December 2019

    FMA files civil proceedings against CBL Corporation, its directors and chief financial officer

    The FMA has issued two sets of civil proceedings in the Auckland High Court against CBL Corporation Limited (In liquidation) (CBLC), the six directors and the chief financial officer alleging multiple breaches of the Financial Markets Conduct Act 2013 (“FMC Act”). The FMA is seeking declarations of contravention¹ and civil pecuniary penalties in both proceedings.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  12. 13 February 2015

    Action against non-filing of financial statements pays off

    A new report released today by FMA shows the proportion of companies filing their financial statements on time has improved significantly since the FMA’s initial review in 2014.
    Tags
    Media release, News & Insights
    Type
    Page

  14. 29 February 2012

    FMA warns of illegal offer by Makko Securities to advise on Facebook IPO

    The Financial Markets Authority is warning the public of an illegal offer by Makko Securities and its Senior Account Manager, Roy Lochen, to provide broking services in relation to the proposed Initial Public Offering of Facebook and other securities.
    Tags
    Media release, Formal warning, Powers, News & Insights, Enforcement
    Type
    Page