新西兰对Christchurch Corporation Opes Group处以罚款,罪名是记录保存不良、客户沟通和利益冲突管理不当,但没有对客户造成损害。 New Zealand fined Christchurch firm Opes Group for poor recordkeeping, client communication, and conflict-of-interest management, though no client harm occurred.

新西兰金融市场管理局指责克赖斯特彻奇Opes集团未能履行其金融咨询许可证规定的关键义务,包括记录保存不当、客户沟通不畅以及因其综合财产和金融服务模式而导致的利益冲突管理不足。 The New Zealand Financial Markets Authority censured Christchurch-based Opes Group for failing to meet key obligations under its financial advice licence, including inadequate recordkeeping, inconsistent client communication, and insufficient conflict-of-interest management due to its integrated property and financial services model. 虽然没有发现直接伤害客户的情况,但基金会说,这种失误增加了潜在风险。 While no direct client harm was found, the FMA said the lapses increased potential risks. Opes承认了这些问题,以快速增长为借口,并实施了纠正行动和自愿补救计划,圣母玛利亚基金会指出,这是改善遵守情况的积极步骤。 Opes acknowledged the issues, citing rapid growth, and has implemented corrective actions and a voluntary remediation plan, which the FMA noted as positive steps toward improved compliance.