Back

Search results

Found 2481 results. Displaying page 94 of 166

  1. 2 September 2021

    Prospect Wealth Management

    Prospect Wealth Management (FSP711032) is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  2. 2 September 2021

    Resource Financial Planning Limited

    Resource Financial Planning Limited (FSP17321) is an AML/CFT reporting entity.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    Page

  3. 1 September 2021

    FAP Licensing Application Guide Class 2 questions

    FAP Licensing Application Guide Class 2 questions: This document contains the questions you will be asked when applying for a Class 2 Financial Advice Provider full licence. It should be read alongside our guide to full licensing.
    Tags
    Financial Advice Provider, Licence guide, Roles, Licensing & registration, Business
    Type
    PDF

  4. 1 September 2021

    Customer vulnerability – our expectations for providers

    Customer vulnerability – our expectations for providers. This information sheet explains the FMA’s expectations for financial services firms to prioritise their customer vulnerability practices, focusing on areas we consider immediate priorities, updated Sept 2021.
    Tags
    Banking, Conduct, Roles, Business, Managed investment schemes
    Type
    PDF, Report

  5. 31 August 2021

    Delta blues: latest lockdown shows need for customer vulnerability preparedness

    FMA Senior Advisor for Investor Capability talks about customer vulnerability in the face of COVID-19.
    Tags
    COVID-19, Authorised body under a FAP, Crowdfunding providers, Cryptocurrencies, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Financial Adviser, Roles, Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers, Nominated representatives
    Type
    Page

  6. 29 August 2021

    Sharesies Limited and Sharesies Nominee Limited

    The FMA has issued a formal warning to Sharesies for purposes of section 80 of Anti-Money Laundering and Countering
    Financing of Terrorism Act 2009
    We have reasonable grounds to believe that Sharesies have engaged in conduct that constitutes a civil liability act under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009.
    Tags
    AML/CFT, Roles, Formal warning, Powers, Business, Enforcement
    Type
    Page

  7. 26 August 2021

    NEW ZEALAND FUNDS MANAGEMENT LIMITED

    NEW ZEALAND FUNDS MANAGEMENT LIMITED is licensed to provide DIMS.
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page

  8. 26 August 2021

    RIVAL WEALTH LIMITED

    RIVAL WEALTH LIMITED (FSP30481) is licensed to provide DIMS
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page

  9. 25 August 2021

    Extension of Submission Deadline: Annual AML/CFT Reports 2021

    Annual AML/CFT 2021 reports – deadline extension. Due the current Alert Level 4, reporting entities might not be able to access required information to complete their Annual AML/CFT Report by 31 August 2021. The AML/CFT Supervisors have therefore agreed to change the submission deadline for this year to the 30th of September 2021.
    Tags
    AML/CFT, COVID-19, Roles, Business, News & Insights
    Type
    Page

  10. 23 August 2021

    FMA issues warning to Sharesies for AML/CFT breaches

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has issued a formal warning to Sharesies Limited and Sharesies Nominee Limited for failing to have sufficient anti-money laundering procedures, policies, and controls in place.
    Tags
    AML/CFT, Roles, Media release, Enforceable action, Business, News & Insights, Enforcement
    Type
    Page

  12. 20 August 2021

    Sharesies Limited - Formal Warning

    FMA issued a formal warning to Sharesies Limited and Sharesies Nominee Limited for failing to have sufficient anti-money laundering procedures, policies, and controls in place.
    Tags
    AML/CFT, Roles, Business, Enforcement
    Type
    PDF

  13. 13 August 2021

    Standard conditions overseas audit firms

    This document serves as a guide to the standard conditions attached to licences of overseas auditors operating in New Zealand.
    Tags
    Auditors, Standard conditions, Roles, Licensing & registration, Business
    Type
    PDF

  14. 12 August 2021

    FMA accuses CEO of market manipulation for anonymous posts on investor forum

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has filed civil High Court proceedings against Matthew Geoffrey Hill, the Chief Executive Officer of NZX-listed New Talisman Gold Mines Limited (NTL), for alleged information-based market manipulation and making false and misleading representations. The case relates to anonymous posts Mr Hill made about the company on the Sharetrader website’s online investor forum.
    Tags
    Cases, Directors, Roles, Offer information, Media release, Business, News & Insights, Enforcement
    Type
    Page

  15. 10 August 2021

    Willis Bond DBG

    Willis Bond DBG
    Tags
    AML/CFT, Roles, Designated Business Group (DBG), Business
    Type
    Page