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Found 3441 results. Displaying page 5 of 173

1. • DIMS

   13 August 2018

   Consilium NZ Limited

   Consilium NZ Limited, FSP439786, is licensed to provide Discretionary Investment Management Services (DIMS).

   https://fma.cwp.govt.nz/compliance/licensed-providers/consilium-nz-limited/

2. 28 August 2018

   Financial Markets Conduct (Christchurch City Holdings Limited Subsidiary Balance Date Alignment) Exemption Notice

   Financial Markets Conduct (Christchurch City Holdings Limited Subsidiary Balance Date Alignment) Exemption Notice exempts the board of Christchurch City Holdings Limited (CCHL) from requiring that its subsidiary Orian has the same balance date. Read more.

   https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/financial-markets-conduct-christchurch-city-holdings-limited-subsidiary-balance-date-alignment-exemption-notice/

3. 19 August 2019

   Icehouse Ventures Nominees Limited

   Icehouse Ventures Nominees Limited, FSP18944, previously known as ICE Angels Nominees Limited is an AML reporting entity.

   https://fma.cwp.govt.nz/compliance/amlcft/reporting-entities/ice-angels-nominees-limited/

4. • Unregistered business
   • Suspected scam

   16 November 2018

   Messrs John Preston and Robert Harding; Harding & Company Advisors

   We are concerned that Messrs Preston and Harding are cold calling New Zealand residents purporting to be representatives from Harding and Company Advisors and offering the opportunity to purchase shares.

   https://fma.cwp.govt.nz/news-and-resources/warnings-and-alerts/preston-and-harding/

5. 16 January 2019

   SunX Global Limited

   SunX Global Limited

   https://fma.cwp.govt.nz/compliance/amlcft/reporting-entities/sunx-global-limited/

6. • Suspected scam

   22 March 2019

   www.redsolarcapital.com

   FMA warns that the website www.redsolarcapital.com is not associated with or operated by Red Solar Capital Limited, which is registered and licensed in Hong Kong.

   https://fma.cwp.govt.nz/news-and-resources/warnings-and-alerts/red-solar-capital/

7. 1 April 2019

   Financial Markets Conduct (Harbour Investment Funds) Exemption Notice 2019

   Financial Markets Conduct (Harbour Investment Funds) Exemption Notice 2019 exempts Harbour Asset Management Limited (Harbour), the manager of the Harbour Investment Funds (Scheme) from clauses 53(1)(c)(viii), 53(1)(j), 54(1)(a)(i), 54(1)(d) and 70(1)(a)(i) of Schedule 4 of the Financial Markets Conduct Regulations 2014 (Regulations). Read more.

   https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/harbour-investment-funds/

8. • Suspected scam

   17 April 2019

   Smart Financial Markets

   Smart Financial Markets are not registered to provide financial services in New Zealand and we have therefore formed the view that this entity bears the hallmarks of a scam.

   https://fma.cwp.govt.nz/news-and-resources/warnings-and-alerts/smart-financial-markets/

9. • Closed cases
   • Market manipulation

   31 July 2017

   Mark Warminger

   The FMA has issued civil proceedings seeking pecuniary penalties against Mr Warminger for trading carried out between January and August 2014. The FMA alleges that MR Warminger’s conduct amounted to market manipulation in breach of s11B of the Securities Markets Act 1988.

   https://fma.cwp.govt.nz/news-and-resources/cases/warminger/

10. • Suspected scam

    9 May 2019

    strategicfinancelimited.com

    FMA warns that strategicfinancelimited.com could be involved in a scam and it is not associated with the Strategic Finance Limited registered in New Zealand (NZBN: 9429037630928).

    https://fma.cwp.govt.nz/news-and-resources/warnings-and-alerts/strategicfinancelimited-com/

11. 27 May 2019

    Financial Markets Conduct (Clearwater Golf Club Limited) Exemption Notice 2019

    Clearwater Golf Club Limited is exempted from Part 7 of the Act with respect to a particular accounting period if the company would be an FMC reporting entity only by virtue of membership shares being regulated products.

    https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/financial-markets-conduct-clearwater-golf-club-limited-exemption-notice-2019/

12. • Unregistered business

    17 June 2019

    Willow Group Limited

    Willow Group Limited is not registered or licensed to provide financial services in New Zealand. We have received a report of Willow Group Limited making unsolicited contact with New Zealand residents offering investment services from Hong Kong. Read more.

    https://fma.cwp.govt.nz/news-and-resources/warnings-and-alerts/willow-group-limited/

13. 12 July 2019

    Financial Markets Conduct (Silver Chef Limited) Exemption Notice 2019

    Financial Markets Conduct (Silver Chef Limited) Exemption Notice exempts Silver Chef Limited, subject to conditions, from the disclosure and governance requirements of Parts 3 and 4 of the Financial Markets Conduct Act 2013 (the Act), in relation to an offer made in connection with an Australian scheme of arrangement involving the exchange of all Silver Chef shares from existing Silver Chef shareholders resident in New Zealand for a combination of a cash and contingent value notes.

    https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/expired-exemptions/financial-markets-conduct-silver-chef-limited-exemption-notice-2019/

14. • Suspected scam

    29 July 2019

    Girard Montague

    We recommend exercising caution before dealing with Girard Montague, Richard Sinclair, Richard Tan and the website https:ljwww.girard- montague.com as Girard Montague is not listed on the FSPR and is not an incorporated company in New Zealand.

    https://fma.cwp.govt.nz/news-and-resources/warnings-and-alerts/girard-montague/

15. 14 August 2019

    Jamie Patrick George Norton

    Jamie Patrick George Norton, FSP621169, has AML reporting obligations.

    https://fma.cwp.govt.nz/compliance/amlcft/reporting-entities/jamie-patrick-george-norton/

16. • Cases before the courts
    • FSPR

    18 October 2019

    Barry Kloogh (Financial Planning Limited and Impacted Enterprises Limited)

    Mr Kloogh was offering brokering services to clients through the first defendant, Financial Planning Ltd, and the second defendant, Impact Enterprises Ltd, although neither they nor he was registered to offer broking services. The FMA referred the matter to the Serious Fraud Office.

    https://fma.cwp.govt.nz/news-and-resources/cases/barry-kloogh/

17. • Unregistered business

    1 October 2019

    Forexbrokerz

    We are concerned that statements on Forexbrokerz’s website, https://www.forexbrokerz.com/ have the potential to mislead investors on the extent the New Zealand financial service providers listed on the website are regulated/licensed in New Zealand and the existing regulatory framework in New Zealand.

    https://fma.cwp.govt.nz/news-and-resources/warnings-and-alerts/forexbrokerz/

18. • Unregistered business
    • Suspected scam
    • Fake regulator

    5 November 2019

    alltrademarkets

    Alltrademarkets is not registered on the Financial Service Provider Registry of New Zealand, therefore, is not permitted to offer financial services to New Zealand residents.

    https://fma.cwp.govt.nz/news-and-resources/warnings-and-alerts/alltrademarkets/

19. 22 January 2020

    JARDEN PRINCIPAL INVESTMENTS LIMITED

    Jarden Principal Investments Limited, FSP590730, is an AML/CFT reporting entity supervised by the FMA.

    https://fma.cwp.govt.nz/compliance/amlcft/reporting-entities/jarden-principal-investments-limited/

20. 3 February 2020

    BANCORP CAPITAL LIMITED

    Bancorp Capital Limited is an AML reporting entity supervised by the FMA.

    https://fma.cwp.govt.nz/compliance/amlcft/reporting-entities/bancorp-capital-limited/