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Found 6608 results. Displaying page 390 of 441

  1. 1 December 2013

    FMO Services LP

    Un-registered overseas brokers & false/misleading advertising.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  4. 1 December 2013

    Audit Quality Review Report 2013

    This report provides an overview of the outcomes of the audit quality review activities of the Financial Markets Authority (FMA) for the period 1 July 2012 to 30 June 2013.
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  5. 1 December 2013

    Identity Verification Code of Practice

    Identity Verification Code of Practice provides a suggested best practice for all reporting entities conducting name and date of birth identity verification on customers (that are natural persons) they have assessed to be low to medium risk.

    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  6. 1 December 2013

    1st Equity Group Limited

    1st Equity Group Limited made False/misleading advertising. ASSOCIATED PERSON: Gier Holstad
    Tags
    Suspected scam, Scams
    Type
    Page

  7. 1 December 2013

    DCW Limited

    DCW Limited (website: www.dcwlimited.com) has False/misleading advertising. ASSOCIATED PERSON: Justin Lane
    Tags
    Suspected scam, Scams
    Type
    Page

  8. 1 December 2013

    Kaiser Brokers Group Limited

    Kaiser Brokers Group Limited (website: www.kaiserbrokers.com) made False/misleading advertising. ASSOCIATED PERSONS: Qiongyao Chen (AKA John Chen), Warren Wang (AKA Wangsheng Chenqiung Yao)
    Tags
    Suspected scam, Scams
    Type
    Page

  10. 28 November 2013

    FMA announces new Chief Executive

    The Financial Markets Authority (FMA) has appointed Rob Everett as its new Chief Executive, effective 3 February 2014.
    Tags
    Media release, FMA, News & Insights
    Type
    Page

  12. 26 November 2013

    FMA Annual Report 2013

    FMA Annual Report 2013.
    Tags
    Type
    PDF, Annual report, Corporate publications

  15. 15 November 2013

    David Ross sentenced for New Zealand’s largest ever Ponzi

    David Robert Gilmour Ross (63) has been sentenced in the Wellington District Court to 10 years and 10 months of imprisonment following a joint agency investigation by the SFO and the FMA. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page