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Securities Commission
New Zealand
Member since: 30 August 2007
Profile views: 6753
THE SECURITIES COMMISSION The Securities Commission is an independent crown entity under the Securities Act 1978. It is New Zealand's main regulator of investments. OUR VISION Investors can have confidence in New Zealand's securities markets so that the markets increasingly attract investment from New Zealand and overseas. OUR PURPOSE To strengthen investor confidence and foster capital investment in New Zealand by promoting the efficiency, the integrity, and cost effective regulation of our securities markets. OUR WORK Contributes to robust and vibrant capital markets in which investors, both domestic and overseas, can have confidence. This in turn is important for New Zealand's sustainable economic development.
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News (78)
Financial institutions and casinos now have access to information about potential money laundering risks in their sector following the release of Sector Risk Assessments today.
473 views
The High Court, on application from the Securities Commission, has today granted interim injunctions to stop shares being transferred to limited partnerships associated with Mr Bernard Whimp.
403 views
The Securities Commission has today made orders against limited partnerships associated with Mr Bernard Whimp.
611 views
The Securities Commission is alerting investors to be wary of further unsolicited offers for shares which have been brought to its attention following a warning it issued yesterday.
473 views
The Australian Securities and Investments Commission (ASIC) and New Zealand Securities Commission have jointly published updated guidance for Australian and New Zealand issuers offering shares, debentures or interests in managed or collective investment schemes in both countries.
418 views
The Securities Commission is warning investors to be very wary of any unexpected offers they may receive for their shares or other investments.
432 views
The first Qualifying Financial Entities (QFEs) licences have been granted today signalling the next step in the implementation of the new financial advisers regulatory regime.
480 views
In April 2010, the Securities Commission commenced civil proceedings against Nuplex Industries Limited and six of its present or past directors, John Hirst, Robert Aitken, Barbara Gibson, David Jackson, Bryan Kensington and Michael Wynter.
390 views
The Securities Commission has commenced civil proceedings against Insured Group Limited, formerly known as Lombard Group Limited, in relation to alleged breaches in 2007 and 2008 of the continuous disclosure provisions of the Securities Markets Act 1988.
401 views
The Securities Commission has published the standard conditions Qualifying Financial Entities (QFEs) will need to abide by when their employees and representatives give financial advice.
411 views
The Securities Commission has banned INNL's investment statement following the banning of INNL's website earlier this month.
630 views
The Securities Commission today released information about the status of its investigations into 50 failed finance companies.
635 views
The Securities Commission's latest review of financial reporting standards continues to highlight the need for a greater focus on transparency.
414 views
The Securities Commission invites submissions on proposed standard conditions for financial adviser businesses that apply for Qualifying Financial Entity (QFE) status.
435 views
The Securities Commission invites submissions on proposed standard conditions for Authorised Financial Advisers (AFAs).
327 views
The Securities Commission today released an updated edition of its QFE Adviser Business Statement Guide reflecting changes to the Financial Advisers Act.
426 views
The Reserve Bank of New Zealand and the Securities Commission today announced that the newly established NZCDC Settlement System has been declared a designated settlement system under Part 5C of the Reserve Bank of New Zealand Act.
478 views
The Commissioner for Financial Advisers, David Mayhew has approved the draft Code of Professional Conduct for Authorised Financial Advisers, and sent it to the Minister of Commerce, Hon Simon Power for his approval.
560 views
Shareholders in DNZ Property Fund Limited should be wary of an offer by Carrington Securities LP to buy their shares for $0.60 per share.
406 views
The Commissioner for Financial Advisers, David Mayhew, today received from the Code Committee the draft code of professional conduct for authorised financial advisers for his approval under the Financial Advisers Act 2008.
459 views
The Securities Commission's latest review of corporate governance reporting shows that while most issuers are doing well, many need to improve their disclosures when it comes to ethical standards, directors and executive's remuneration, risk management, and shareholder and stakeholder relations.
436 views
Debenture-holders in Dorchester Finance Limited should be wary of an offer by Stock & Share Trading Company Pty Limited to buy their debentures for 5c in the dollar.
463 views
The Securities Commission has accepted enforceable undertakings from the partners of Finance & Investments, Mr Andrew Harding and Mr Murray Scholfield.
440 views
The Securities Commission has laid criminal charges and issued civil proceedings against Dominion Finance Group Limited and North South Finance Limited directors Vance Arkinstall, Richard Bettle, Terence Butler, Ann Butler, Paul Forsyth and Robert Barry Whale.
535 views
An article in Fairfax Media publications this morning wrongly reports that Simon Botherway has declared a "potential conflict of interest" in relation to Mr Allan Hubbard.
496 views
The Commissioner for Financial Advisers, David Mayhew, today urged advisers to get ready for the new regulatory regime.
597 views
The Securities Commission welcomes the settlement achieved between the Commerce Commission and ANZ National Bank Limited (ANZN) and ING (NZ) Limited (ING).
442 views
Former Timaru-based investment adviser Neville Ian Cant, found guilty of forgery and theft, is banned from operating as an adviser or investment broker for five years.
421 views
Debenture-holders in Strategic Finance Limited should be wary of an offer by Stock & Share Trading Company Pty Limited to buy their debentures for 5c in the dollar.
410 views
The Securities Commission today released the AFA Adviser Business Statement Guide to help financial advisers prepare for the new regulatory regime.
608 views
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