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Securities Commission

Business
New Zealand

Member since: 30 August 2007
Profile views: 6180

seccom.govt.nz



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)


Tuesday, 29 March 2011
Finance 11:34AM
Anti-money laundering risk assessment released

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.

346 views

Thursday, 24 March 2011
Finance 2:46PM
Whimp partnerships injuncted at Securities Commission's request

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.

289 views

Friday, 18 March 2011
Finance 5:22PM
Securities Commission orders Whimp partnerships to correct 'low ball' offers

The Securities Commission has today made orders against limited partnerships associated with Mr Bernard Whimp.

506 views

Business 4:46PM
Commission warns about more unsolicited offers

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.

300 views

Finance 9:48AM
Guide for trans-Tasman mutual recognition of securities offerings updated

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.

294 views

Thursday, 17 March 2011
Finance 8:09AM
Commission issues warning on unsolicited offers from Carrington Securities and Energy Securities LP

The Securities Commission is warning investors to be very wary of any unexpected offers they may receive for their shares or other investments.

274 views

Monday, 14 March 2011
Finance 4:34PM
First QFEs granted

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.

295 views

Wednesday, 23 February 2011
Business 11:10AM
Securities Commission and Nuplex reach settlement

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.

267 views

Wednesday, 2 February 2011
Finance 8:07AM
Commission takes action against Insured Group

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.

291 views

Friday, 24 December 2010
Finance 8:32AM
New conditions for Qualifying Financial Entities

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.

308 views

Friday, 17 December 2010
Finance 4:41PM
Warning: IRA NRG NZ Limited (INNL) investment statement banned

The Securities Commission has banned INNL's investment statement following the banning of INNL's website earlier this month.

407 views

Saturday, 4 December 2010
Finance 9:00AM
Commission releases information on finance company investigations

The Securities Commission today released information about the status of its investigations into 50 failed finance companies.

474 views

Wednesday, 17 November 2010
Finance 8:10AM
Commission's review highlights continuing need for greater transparency

The Securities Commission's latest review of financial reporting standards continues to highlight the need for a greater focus on transparency.

297 views

Wednesday, 29 September 2010
Finance 7:48AM
Commission consults on standard conditions for QFEs

The Securities Commission invites submissions on proposed standard conditions for financial adviser businesses that apply for Qualifying Financial Entity (QFE) status.

318 views

Thursday, 9 September 2010
Finance 11:04AM
Commission consults on standard conditions for advisers

The Securities Commission invites submissions on proposed standard conditions for Authorised Financial Advisers (AFAs).

226 views

Monday, 6 September 2010
Finance 1:15PM
Updated guide for financial entities

The Securities Commission today released an updated edition of its QFE Adviser Business Statement Guide reflecting changes to the Financial Advisers Act.

309 views

Friday, 3 September 2010
Finance 10:15AM
New designated settlement system

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.

339 views

Thursday, 2 September 2010
Finance 5:05PM
Draft Code to Minister for approval

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.

332 views

Wednesday, 11 August 2010
Finance 10:22AM
Warning: Unsolicited offer for DNZ Property Fund Limited shares

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.

296 views

Friday, 30 July 2010
Finance 2:24PM
Commissioner for financial advisers receives draft code of professional conduct

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.

359 views

Wednesday, 28 July 2010
Business 12:35PM
Issuers could improve corporate governance reporting

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.

317 views

Finance 11:18AM
Warning: Unsolicited offer for Dorchester Finance debentures

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.

352 views

Friday, 16 July 2010
Finance 12:11PM
Finance & Investments Partners Enforceable Undertaking

The Securities Commission has accepted enforceable undertakings from the partners of Finance & Investments, Mr Andrew Harding and Mr Murray Scholfield.

313 views

Wednesday, 7 July 2010
Finance 12:36PM
Dominion and North South Finance directors charged

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.

426 views

Friday, 25 June 2010
Media 5:54PM
No conflict of interest

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.

366 views

Finance 3:58PM
Financial advisers urged to get ready for regulation

The Commissioner for Financial Advisers, David Mayhew, today urged advisers to get ready for the new regulatory regime.

478 views

Tuesday, 22 June 2010
Business 5:54PM
Securities Commission welcomes Commerce Commission settlement with ANZ and ING

The Securities Commission welcomes the settlement achieved between the Commerce Commission and ANZ National Bank Limited (ANZN) and ING (NZ) Limited (ING).

318 views

Monday, 14 June 2010
Crime 2:49PM
Investment adviser and broker banned

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.

313 views

Friday, 11 June 2010
Finance 3:49PM
Warning: Further unsolicited offer for Strategic Finance debentures

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.

303 views

Friday, 4 June 2010
Finance 11:42AM
Guide for Authorised Financial Advisers released

The Securities Commission today released the AFA Adviser Business Statement Guide to help financial advisers prepare for the new regulatory regime.

430 views



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