新西兰政府加强金融监管力度 注销100余家FSP并出台系列新法

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FSP-LOGO新西兰曾经是金融衍生品和银行业的天堂。相比较世界其他机构和政府苛刻的监管要求,新西兰的监管政策则较为温和随意,较低的资金要求使众多broker纷纷选择FSP监管牌照,使这里吸引了大批创业的外汇经纪商,甚至银行。

对此,2013年新政府执行了在新西兰注册公司需要拥有真正的办公室的法案,并依此清理了200余家不合规FSP注册商。这一政策使FSP的注册有所缓解。质量有所提升。但相继托管公司的出现。依然为新西兰FSP的注册提供便利,其实,新西兰的法案中规定允许海外公司在新西兰本土进行托管运营,并对于公司办公运营,合规,会计审及等有着相关严格的规定。

但一些无良的海外华人托管公司利用到这一机会,有的甚至对新西兰金融政策一无所知,其FSP公司对相应的监管,合规Compliance,反洗钱AML, 客户背景调查KYC等完全没有执行。很多FSP甚至不具备真正的外汇保证金存储银行账号。还有部分中介公司竟然不曾为其托管的FSP公司开设银行账号。

对于一系列的违规FSP,今年7月1日新西兰政府正式要求各公司提交AM Annual report (反恐怖金融和反洗黑钱所度报告)报告。并且要求在两个月内完成并于8月31日前完成提交。 这标志着新西兰2009反洗钱和反恐怖主义金融法案于今年正式执行。(www.dia.govt.nz) 根据这一条例,所有FSP金融提供商公司必须具备KYC(了解你的客户)和AML(反洗钱)的相关公司内审政策和法律要求。其中(Section 58) 对具体客户风险评估,反洗钱和反恐怖主意金融进行了规定,而Section 56 章则规定了具体的要求。

众所周知,新西兰的金融国际形象与其发达国家的形象和排名前列的国民人均收入不成正比。新西兰政府也一直期待能加入Global compliance alliance全球合规联盟,成为第21个国家。除去权威的美国NFA,英国FCA,即使像塞普路斯这样的小国都在这个联盟中时,新政府拿出力度的决心也日渐明显。

就在各公司提交AML年度报告之前,新西兰政府又强制注册了100多家不合规的金融提供商。山雨预来风满楼,种种迹象表明,新西兰政府希望告诉世人,狂野的西部拓荒时代时刻已经过去。新政府将对制度严格化,这预示着政府对不合规金融服务商的监管力度加继续加大。

以下是取消注册的金融服务商的名单:

在金融服务供应商(注册及争议解决)2008法令第18(1)注销。

AMCOR NEW ZEALAND SUPERANNUATION FUND   |   FSP27622 
Date of deregistration:  31 July 2014

ANDREW JOHN VOLKNER   |   FSP92702 
Date of deregistration:  10 July 2014

ANDREW MILES BROWN   |   FSP284365 
Date of deregistration:  10 July 2014

ANITA MAREE PARKER   |   FSP104649 
Date of deregistration:  10 July 2014

ARONDA LEE THORBURN   |   FSP213145 
Date of deregistration:  10 July 2014

Ashley Leonard PIERCE   |   FSP93201 
Date of deregistration:  19 July 2014

Autalavou SIMANU   |   FSP330026 
Date of deregistration:  31 July 2014

BARRY JAMES LYALL   |   FSP63721 
Date of deregistration:  10 July 2014

BENJAMEN MORRIS   |   FSP267265 
Date of deregistration:  10 July 2014

CARL PETER DIPROSE   |   FSP263145 
Date of deregistration:  5 July 2014

CARLING FINANCE LIMITED   |   FSP304746 
Date of deregistration:  10 July 2014

CAROLYN RUTH CRUICKSHANK   |   FSP153264 
Date of deregistration:  10 July 2014

CHERYL ELLEN JOHNSON   |   FSP285285 
Date of deregistration:  10 July 2014

Chester BENTLEY   |   FSP309286 
Date of deregistration:  31 July 2014

CHRISTOPHER BRUCE YATES   |   FSP220285 
Date of deregistration:  10 July 2014

CLYDE ALOYSIUS MONTEIRO   |   FSP324046 
Date of deregistration:  10 July 2014

COLIN ROBERT OUTHRED   |   FSP293146 
Date of deregistration:  10 July 2014

DAMIAN JOSEPH DESMOND KERR   |   FSP121747 
Date of deregistration:  10 July 2014

Daniel Adam ROSE   |   FSP262305 
Date of deregistration:  25 July 2014

DAVID ANTHONY HANNIFIN   |   FSP108766 
Date of deregistration:  10 July 201Top4

DAVID RAWIRI WHITLOW   |   FSP210946 
Date of deregistration:  10 July 2014

Dayne Thomas Robert NGATUERE   |   FSP360706 
Date of deregistration:  25 July 2014

DEBTBREAKER (DUNEDIN) LIMITED   |   FSP245225 
Date of deregistration:  31 July 2014

Donald Campbell MACKENZIE   |   FSP109323 
Date of deregistration:  25 July 2014

Donald Graeme GARLAND   |   FSP79101 
Date of deregistration:  19 July 2014

DUNN FUNDS LIMITED   |   FSP330006 
Date of deregistration:  19 July 2014

DUNN HOUSING FUND NO.1 LIMITED   |   FSP329986 
Date of deregistration:  19 July 2014

EDWARD JOHN MURRAY   |   FSP200906 
Date of deregistration:  10 July 2014

Eleni Latu LEO   |   FSP356607 
Date of deregistration:  31 July 2014

EMMA PATRICIA ROUSE   |   FSP282645 
Date of deregistration:  10 July 2014

Epi SIAMOA-BROWN   |   FSP330746 
Date of deregistration:  31 July 2014

ERIN ANNA HEFFERNAN   |   FSP283865 
Date of deregistration:  10 July 2014

Faalaa VAOGA   |   FSP325026 
Date of deregistration:  31 July 2014

FARZANA SOLI SAKKAI   |   FSP282425 
Date of deregistration:  10 July 2014

Felicity Joy PRICE   |   FSP358986 
Date of deregistration:  22 July 2014

FERGUS REBEL MCMAHON   |   FSP254565 
Date of deregistration:  10 July 2014

Flora Pepe SIMANU   |   FSP343186 
Date of deregistration:  31 July 201Top4

Gerard Moses Ayroso BRIONES   |   FSP341946 
Date of deregistration:  31 July 2014

GRANT CAMERON KEYS   |   FSP171624 
Date of deregistration:  10 July 2014

Grant Dermid MACDONALD   |   FSP226685 
Date of deregistration:  3 July 2014

GREGORY BRUCE MAIN   |   FSP104630 
Date of deregistration:  10 July 2014

GUSTAV THALWITZER   |   FSP117066 
Date of deregistration:  10 July 2014

GUY DAVID WILLIAMS   |   FSP96865 
Date of deregistration:  10 July 2014

Herbert Te Riki KELLY   |   FSP341766 
Date of deregistration:  9 July 2014

HERMIT.CO.NZ LIMITED   |   FSP103544 
Date of deregistration:  10 July 2014

IGLOBE TREASURY NOMINEES LIMITED   |   FSP111324 
Date of deregistration:  10 July 2014

ISRAEL HIMIONA ELLIS   |   FSP204785 
Date of deregistration:  10 July 2014

Ivan FAAPEPELE   |   FSP323026 
Date of deregistration:  31 July 2014

Janaya STEPHENS   |   FSP306366 
Date of deregistration:  9 July 2014

JASON CHRISTOPHER HASKINS   |   FSP153464 
Date of deregistration:  10 July 2014

JEFFREY SCOTT RIBMAN   |   FSP297866 
Date of deregistration:  10 July 2014

JESSE ATATAI   |   FSP278625 
Date of deregistration:  10 July 2014

JIANG CHEN   |   FSP222645 
Date of deregistration:  10 July 2014

JING HUANG   |   FSP252405 
Date of deregistration:  10 July 201Top4

JOHN ALAN RAMSAY   |   FSP105369 
Date of deregistration:  10 July 2014

JONATHAN LEES KITCHEN   |   FSP333366 
Date of deregistration:  10 July 2014

Joseph Guy HOGLUND   |   FSP328926 
Date of deregistration:  31 July 2014

JUDITH MAY PENLINGTON   |   FSP93361 
Date of deregistration:  10 July 2014

JUNFANG CAO   |   FSP298706 
Date of deregistration:  10 July 2014

Kalaire Te Aorewa Ngapera WILLIAMS   |   FSP306386 
Date of deregistration:  4 July 2014

KAREL JOHANNES POLMAN   |   FSP141344 
Date of deregistration:  10 July 2014

Karen Janice LANGDON   |   FSP131424 
Date of deregistration:  4 July 2014

KARLEE LISA AGNEW   |   FSP68801 
Date of deregistration:  10 July 2014

KATERINA IEREMIA AH SAM   |   FSP184744 
Date of deregistration:  10 July 2014

Kaylee Dona MCKENZIE – LEE   |   FSP282285 
Date of deregistration:  31 July 2014

Kelly Michelle SPENCER   |   FSP341106 
Date of deregistration:  19 July 2014

Kendra Jane VAOGA   |   FSP350346 
Date of deregistration:  31 July 2014

Kim Toni STEWART   |   FSP304086 
Date of deregistration:  22 July 2014

KIRSTY FRANCES MCDIARMID   |   FSP122629 
Date of deregistration:  10 July 2014

KIRSTY JULIETTE JORDAN   |   FSP269345 
Date of deregistration:  10 July 2014

KIWI ADVANTAGE LIMITED   |   FSP42941 
Date of deregistration:  19 July 201Top4

Koke Noma AANAUATASI   |   FSP337226 
Date of deregistration:  31 July 2014

KRISTINE KAYE SANTOS   |   FSP280325 
Date of deregistration:  10 July 2014

Kylie Elizabeth PAY   |   FSP206986 
Date of deregistration:  1 July 2014

Lavinia TAVAKE   |   FSP350646 
Date of deregistration:  31 July 2014

LEANNE MARGARET HOWIE   |   FSP105070 
Date of deregistration:  10 July 2014

Leon FERREIRA   |   FSP20122 
Date of deregistration:  19 July 2014

Lisa Suzanne LLEWELLYN   |   FSP320206 
Date of deregistration:  25 July 2014

Litia Norah BENTLEY   |   FSP288745 
Date of deregistration:  31 July 2014

Lucia MATAAFA   |   FSP346006 
Date of deregistration:  4 July 2014

LYNC (NZ) CO LIMITED   |   FSP171904 
Date of deregistration:  11 July 2014

LYNETTE HEATHER ATKINSON   |   FSP105386 
Date of deregistration:  10 July 2014

LYNN MARTIN OXENBRIDGE   |   FSP271885 
Date of deregistration:  10 July 2014

Makerita Lemasaniai MALO   |   FSP313506 
Date of deregistration:  31 July 2014

MALCOLM DAVID SCOTT   |   FSP193325 
Date of deregistration:  10 July 2014

Maraea Wendy KAIRAU   |   FSP351266 
Date of deregistration:  4 July 2014

MARK ANTHONY EMERY-HALL   |   FSP215045 
Date of deregistration:  10 July 2014

MARK MERVYN MCHUGH   |   FSP107773 
Date of deregistration:  10 July 201Top4

MARK WIIG   |   FSP206705 
Date of deregistration:  10 July 2014

MARY JOANNA BLOMFIELD   |   FSP133984 
Date of deregistration:  10 July 2014

MATTHEW HOWARD IAN TOD   |   FSP71482 
Date of deregistration:  10 July 2014

MATTHEW KEN NEWMAN   |   FSP96944 
Date of deregistration:  10 July 2014

Matthew Craig TRIGWELL   |   FSP327606 
Date of deregistration:  4 July 2014

Melanie Louise GYDE   |   FSP334366 
Date of deregistration:  25 July 2014

Mele Loisi ALATINI   |   FSP361206 
Date of deregistration:  31 July 2014

Melemafi FOTU   |   FSP362826 
Date of deregistration:  31 July 2014

MICHAEL JOHN MORRIS   |   FSP102484 
Date of deregistration:  10 July 2014

NADIA CHUN-YUEH CHEN   |   FSP94641 
Date of deregistration:  10 July 2014

Nardia Ellen MESARIC   |   FSP102684 
Date of deregistration:  26 July 2014

Navneet SHARAN   |   FSP358066 
Date of deregistration:  16 July 2014

NBD DIALYSIS CENTRES LIMITED   |   FSP323307 
Date of deregistration:  10 July 2014

NHFS (2014) LIMITED   |   FSP110705 
Date of deregistration:  10 July 2014

NICHOLAS BRETT DALTON   |   FSP146524 
Date of deregistration:  10 July 2014

NICKILETTE PAULA LIVINGSTON   |   FSP234265 
Date of deregistration:  10 July 2014

Nicola Maree GREER   |   FSP187384 
Date of deregistration:  25 July 201Top4

NICOLE DENISE STANDRING   |   FSP105075 
Date of deregistration:  10 July 2014

OSMUNDO MAGYAWI MALALUAN   |   FSP273245 
Date of deregistration:  10 July 2014

Pamata Pammy DALOSA   |   FSP350786 
Date of deregistration:  31 July 2014

PARE TE KAWA EDWARDS   |   FSP286745 
Date of deregistration:  10 July 2014

PATRICIA IRENE HEWETT   |   FSP104365 
Date of deregistration:  10 July 2014

PATRICIA MARY FOSTER   |   FSP105372 
Date of deregistration:  10 July 2014

Patrick Donnellon COONEY   |   FSP65681 
Date of deregistration:  31 July 2014

PAUL LEWIS ROUSE GARDNER   |   FSP280965 
Date of deregistration:  10 July 2014

PAUL STEPHEN DILKS   |   FSP128065 
Date of deregistration:  10 July 2014

PAUL WISCHNOWSKY   |   FSP225465 
Date of deregistration:  10 July 2014

Penelope PENIAMINA   |   FSP304786 
Date of deregistration:  31 July 2014

PETER DREDGE LIMITED   |   FSP108908 
Date of deregistration:  10 July 2014

Petisi FONUA   |   FSP361446 
Date of deregistration:  31 July 2014

PLANET GROUP INTERNATIONAL HOLDINGS LIMITED   |   FSP243065 
Date of deregistration:  29 July 2014

Poasi MAAFU   |   FSP285885 
Date of deregistration:  4 July 2014

Rachel Moana-marie TATE   |   FSP286905 
Date of deregistration:  9 July 2014

Ranjeeta SAMI   |   FSP212027 
Date of deregistration:  4 July 2014Top

RED ROOF CAPITAL LIMITED   |   FSP309786 
Date of deregistration:  11 July 2014

RENAISSANCE GLOBAL TRADING LIMITED   |   FSP205206 
Date of deregistration:  11 July 2014

Ripeka BROWN   |   FSP337326 
Date of deregistration:  9 July 2014

Roanna Jade DARRALL   |   FSP97484 
Date of deregistration:  25 July 2014

ROSKILL SOUTH HARDWARE LIMITED   |   FSP22741 
Date of deregistration:  31 July 2014

RUSSELL ARNOLD EDWARDS   |   FSP107884 
Date of deregistration:  10 July 2014

Ryan Manu TOMASI   |   FSP363126 
Date of deregistration:  31 July 2014

Saimone ULUPANO   |   FSP328866 
Date of deregistration:  31 July 2014

Samuel Geoffry BROWN   |   FSP212705 
Date of deregistration:  5 July 2014

Sanjay YADAV   |   FSP340966 
Date of deregistration:  4 July 2014

Sarah Leanne YOUNG   |   FSP49041 
Date of deregistration:  18 July 2014

SCENIC CIRCLE HOTELS LIMITED   |   FSP186725 
Date of deregistration:  10 July 2014

SCOTT NEAL SADGROVE   |   FSP120467 
Date of deregistration:  10 July 2014

SHANNON PRETTY   |   FSP110371 
Date of deregistration:  10 July 2014

SHARON BLANDFORD STUBBS   |   FSP318866 
Date of deregistration:  10 July 2014

Sharon Margaret Kathleen REID   |   FSP225885 
Date of deregistration:  19 July 2014

SHAUN TREVOR ROBERTS   |   FSP113784 
Date of deregistration:  10 July 2014Top

SHERRYL ANN RIDLAND   |   FSP105344 
Date of deregistration:  10 July 2014

SHERYL ANN SHERROCK   |   FSP104584 
Date of deregistration:  10 July 2014

SILKE HELGA MOLINA   |   FSP291126 
Date of deregistration:  10 July 2014

Simon James DOWSETT   |   FSP286665 
Date of deregistration:  5 July 2014

Sione Iloahemoui MOSAATI   |   FSP345786 
Date of deregistration:  31 July 2014

SKYNET FINANCIAL GROUP LIMITED   |   FSP238325 
Date of deregistration:  10 July 2014

Soana LATU   |   FSP361166 
Date of deregistration:  31 July 2014

SOPHIE TARATI AMAT   |   FSP272665 
Date of deregistration:  10 July 2014

STEPPING STONE FINANCE LIMITED   |   FSP168125 
Date of deregistration:  10 July 2014

STUART EWING EVANS   |   FSP267505 
Date of deregistration:  9 July 2014

SUSAN ALICE BIRD   |   FSP115664 
Date of deregistration:  10 July 2014

Susan Meryl MCKENZIE   |   FSP103009 
Date of deregistration:  25 July 2014

Tai LAUTI   |   FSP343166 
Date of deregistration:  16 July 2014

TAMSEN WOODWARD   |   FSP114446 
Date of deregistration:  10 July 2014

TAMSYN RAE MURRAY   |   FSP111236 
Date of deregistration:  10 July 2014

Teenga Hasting RERE   |   FSP311826 
Date of deregistration:  4 July 2014

Tere Stephen DIAMOND   |   FSP128824 
Date of deregistration:  31 July 2014Top

TOWER CAPITAL LIMITED   |   FSP41161 
Date of deregistration:  31 July 2014

TRANSPOWER FINANCE LIMITED   |   FSP16501 
Date of deregistration:  31 July 2014

TREEHOUSE (1992) LIMITED   |   FSP284065 
Date of deregistration:  10 July 2014

Tully Jack GOODISSON   |   FSP346986 
Date of deregistration:  31 July 2014

Vaipou VAOGA   |   FSP312506 
Date of deregistration:  31 July 2014

Valda NICKLIN   |   FSP341206 
Date of deregistration:  2 July 2014

VENA MARISSA DESOUZA   |   FSP311386 
Date of deregistration:  10 July 2014

VENTOSA XPRESS REMIT LIMITED   |   FSP317226 
Date of deregistration:  11 July 2014

Violet Rongomaki DAVIS   |   FSP357506 
Date of deregistration:  31 July 2014

Virinder GOMBER   |   FSP345326 
Date of deregistration:  4 July 2014

Warren Desmond PETRY   |   FSP322626  (Date of deregistration:  25 July 2014)

WORLD MONETARY GROUP LIMITED   |   FSP320546  (Date of deregistration:  18 July 2014)

YAJING CAO   |   FSP323106  (Date of deregistration:  10 July 2014)

Yalini ARIYARATNAM   |   FSP347826  (Date of deregistration:  4 July 2014)

YUNE ZHANG   |   FSP281645  (Date of deregistration:  10 July 2014)

ZE WANG   |   FSP281606  (Date of deregistration:  10 July 2014)

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