一名新西兰金融顾问被禁七年,并因违反禁止令向海外销售产品和收取17 000美元费用而被罚款15 000美元。 A New Zealand financial adviser was banned for seven years and fined $15,000 for violating a stop order by selling products overseas and collecting $17,000 in fees.

前财务顾问David McEwen在新西兰对4项违反2023年金融市场管理局禁止令的行为认罪后,被罚款15 000美元,并被禁止在新西兰提供金融咨询和担任公司领导职务7年。 David McEwen, a former financial adviser, was fined $15,000 and banned for seven years from financial advising and company leadership in New Zealand after pleading guilty to four breaches of a 2023 Financial Markets Authority stop order. 他承认在海外推销和销售金融产品,包括与设在新加坡的一个实体有关的金融产品,而在海外,在禁令生效后收取了约17 000美元的费用。 He admitted to promoting and selling financial products, including those tied to a Singapore-based entity, while overseas, collecting about $17,000 in fees after the ban took effect. 金融管理局警告客户对未经授权的交易进行检查,因为投资者总共支付了173 000美元,而资金的去向不明。 The FMA warned clients to check for unauthorized transactions, as investors paid $173,000 in total, with the funds’ whereabouts unknown. McEwen于2023年离开新西兰,未面临任何先前的定罪,法院在量刑时考虑了他的个人情况,包括健康状况不佳和经济困难的声称。 McEwen, who left New Zealand in 2023, faced no prior convictions, and the court considered his personal circumstances, including claims of poor health and financial hardship, when setting the penalty.