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Found 2205 results. Displaying page 6 of 147

  1. 1 May 2014

    New governance and accountability framework for debt issuers and their licensed supervisors

    The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for debt issuers and their licensed supervisors in the New governance and accountability framework for debt issuers and their licensed supervisors information sheet.
    Tags
    Offer disclosure for equity and debt offers, Supervisors, Roles, Business
    Type
    Page, Guidance

  2. 15 November 2017

    Investigation into certain trading conduct of Goldman Sachs New Zealand Limited

    During our investigation into Mark Warminger, we saw trading activity by Goldman Sachs that gave cause for concern and warranted further investigation. This activity may have presented a false or misleading appearance of the price and supply of securities, which is why it came to our attention. Read more.
    Tags
    Cases, Investigations, Reports and Papers, News & Insights, Enforcement
    Type
    Page

  3. 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

  4. 5 March 2024

    Speech by Samantha Barrass at Financial Advice New Zealand Thrive Conference

    Samantha Barrass talks to Financial Advice New Zealand (FANZ) about the future of financial advice and the quest for better customer outcomes.
    Tags
    Speeches and presentations , Authorised body under a FAP, Financial Advice Provider, Financial Adviser, New Financial Advice regime, Roles, Business, News & Insights, Nominated representatives
    Type
    Page

  10. 31 August 2022

    FINANCIAL FOCUS (NEW ZEALAND) LTD

    FINANCIAL FOCUS (NEW ZEALAND) LTD is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  11. 1 June 2015

    Funds Administration New Zealand Limited

    Funds Administration New Zealand Limited, FSP3961, is licensed to provide Discretionary Investment Management Services (DIMS).
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page

  12. 31 August 2022

    SATURN INVEST NEW ZEALAND LIMITED

    SATURN INVEST NEW ZEALAND LIMITED is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  13. 31 August 2022

    FINANCIAL PLANNING NEW ZEALAND LTD

    FINANCIAL PLANNING NEW ZEALAND LTD is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  14. 1 October 2016

    Funds Administration New Zealand Limited

    Funds Administration New Zealand Limited, FSP3961, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  15. 31 August 2022

    NEW ZEALAND ADVICE GROUP LIMITED

    New Zealand Advice Group Limited is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page