Media releases – 204

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1. 4 March 2011

   Nathans' Director Pleads Guilty to Securities Commission Charges

   John Hotchin, a former director of Nathans Finance NZ Limited (in receivership) ('Nathans') has pleaded guilty to three charges laid by the Securities Commission under section 58 of the Securities Act 1978. Read more.
2. 23 February 2011

   Securities Commission and Nuplex Reach Settlement

   The Securities Commission and Nuplex Industries Limited have reached a full and final settlement of the matters raised in the Commission's proceedings. Read more.
3. 1 February 2011

   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. Read more.
4. 22 December 2010

   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.
5. 21 December 2010

   Review Highlights Need for Better Valuation Disclosure (Dec-2010)

   Securities issuers need to include more information on how their financial assets and liabilities have been valued, says Securities Commission Chairman Jane Diplock.
6. 15 December 2010

   Hotchin's Assets Frozen on Commission Request

   The High Court granted interim asset preservation orders in respect of assets believed to be associated with former Hanover director Mark Hotchin to the Securities Commission(FMA's predecessor). Read more.
7. 3 December 2010

   Commission Releases Information on Finance Company Investigations

   The Securities Commission has released information about the status of its investigations into 50 failed finance companies.
8. 1 December 2010

   Financial Advisers Regulatory Regime Comes Into Force

   The new regulatory regime for financial advisers begins today, with the first Authorised Financial Advisers receiving their certificates of authorisation at a ceremony in Auckland from Commissioner for Financial Advisers, David Mayhew. The regulatory regime will be phased in between today and 1 July 2011.
9. 16 November 2010

   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.
10. 28 October 2010

    Adviser Regulation Ready To 'Go-Live' On 1 December

    The Commissioner for Financial Advisers has taken the last formal step required for the introduction of the new financial advisers regulatory regime, with publication in the Gazette that 1st December 2010 will be the date on which the Code of Professional Conduct for Authorised Financial Advisers (AFAs) comes into effect.
11. 21 October 2010

    Review Highlights Need for Better Valuation Disclosure (Oct-2010)

    The Commissioner for Financial Advisers has taken the last formal step required for the introduction of the new financial advisers regulatory regime, with publication in the Gazette that 1 December 2010 will be the date on which the Code of Professional Conduct for Authorised Financial Advisers (AFAs) comes into effect.
12. 28 September 2010

    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. This follows the Commission's consultation early this month on the licence conditions for Authorised Financial Advisers.
13. 9 September 2010

    Commission Consults on Standard Conditions for Advisers

    The Securities Commission invites submissions on proposed standard conditions for Authorised Financial Advisers.
14. 6 September 2010

    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.
15. 3 September 2010

    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.