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Document Library

A filtered search by topic for all guidance, reports or research documents stored on the FMA website.

Found 1793 results. Displaying page 37 of 120

  1. 20 October 2022

    Williams Corporation Capital Partnership GP Limited - Formal Warning

    The FMA issued a formal warning to Williams Corporation Capital Partnership GP Limited following concerns that it may have failed to give disclosures to investors as required by Part 3 of the Financial Markets Conduct Act 2013 because it relied on the wholesale investor exclusion in circumstances where they were not entitled to.

  2. 20 October 2022

    Wolfbrook Capital Limited - Formal Warning

    The FMA issued a formal warning to Wolfbrook Capital Limited following concerns that they may have failed to give disclosures to investors as required by Part 3 of the Financial Markets Conduct Act 2013 because it relied on the wholesale investor exclusion in circumstances where they were not entitled to.

  7. 20 October 2022

    How to cancel your FMC Act licence

    FMA guide on cancelling a Financial Markets Conduct Act licence, outlining required steps, information, and ongoing obligations.