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Found 2344 results. Displaying page 5 of 157

  1. 20 September 2019

    WFE Capital

    We are concerned that WFE Capital is involved in a scam. WFE Capital is not licensed or registered to provide financial services in either New Zealand or Hong Kong.
    Tags
    Suspected scam, Scams
    Type
    Page

  2. 23 August 2018

    Greenfields Capital

    Greenfields Capital is not incorporated in New Zealand and is not registered on the Financial Service Providers Register
    Tags
    Investor warning, Consumer, Scams
    Type
    Page

  3. 22 August 2018

    Capital Management

    Capital Management cold calling New Zealand residents and offering investment opportunities
    Tags
    Suspected scam, Scams
    Type
    Page

  4. 20 October 2022

    Du Val Capital Partners Limited and Du Val BTR GP Limited - Formal Warning

    The FMA has issued a formal warning to Du Val Capital Partners Limited and Du Val BTR GP 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 they relied on the wholesale investor exclusion in circumstances where they were not entitled to. This is because some eligible investor certificates were incomplete.
    Tags
    Offer disclosure for equity and debt offers, Roles, Business, Enforcement
    Type
    PDF

  5. 5 October 2020

    World Investor Week focus on beginners after steep rise in direct investment

    The Financial Markets Authority is using World Investor Week 2020 to remind thousands of Kiwi investors to do their homework and understand the risks of investing in financial markets after a steep rise in direct investment.
    Tags
    Shares, Ways to invest, Investing, Media release, Consumer, News & Insights
    Type
    Page

  8. 11 December 2019

    Orion Holdings Capital Management and OH Capital

    The FMA recommends exercising caution before dealing with Orion Holdings Capital Management (OHCM), OH Capital and their websites www.ohcmgmt.com, and https://ohcapital.com/. The business address in Ontario which OHCM and OH Captial purports to be operating from is false. OHCM is not registered to perform business in Canada in any capacity.
    Tags
    Suspected scam, Scams
    Type
    Page

  9. 1 November 2013

    Future of financial markets - FMA market update

    Future of financial markets - FMA market update. This document explains how the Financial Markets Authority (FMA) has worked on rebuilding market and investor confidence over the two year period following the global financial crisis, and the failure of finance companies.
    Tags
    Regulation updates, Business, FMA
    Type
    Page, Guidance

  10. 13 March 2015

    Consultation paper: Financial Markets Conduct Act exemptions

    Consultation paper: Financial Markets Conduct Act exemptions. We sought comments on matters we believe should receive support through the FMA’s legislative tools, but for which we have yet to develop policy proposals. Read more here.
    Tags
    FMC Act, Legislation, Consultations, Exemptions, Business
    Type
    Page

  12. 2 December 2015

    Capital Harvest Brokers Limited

    Capital Harvest Brokers Limited is an AML/CFT reporting entity.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    Page

  13. 31 August 2022

    AMA Capital Management Limited

    AMA Capital Management Limited is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  14. 30 November 2015

    Hart Capital Partners Limited

    Hart Capital Partners Limited, FSP16981, is licensed to provide Discretionary Investment Management Services (DIMS).
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page

  15. 10 May 2021

    Brunner and Avon Capital

    Brunner and Avon Capital including: Brunner Capital Limited, and Avon Capital Limited
    Tags
    AML/CFT, Roles, Business
    Type
    Page