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  1. 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.
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    Media release, News & Insights
    Type
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  2. 17 September 2010

    Securities Act (TrustPower Limited)

    Securities Act (TrustPower Limited) expired exemption notice
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  5. 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.
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    Media release, News & Insights
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  6. 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.
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    Media release, News & Insights
    Type
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  8. 2 September 2010

    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.
    Tags
    Media release, News & Insights
    Type
    Page

  9. 27 August 2010

    Securities Act (Endace Limited)

    Securities Act (Endace Limited) expired exemption notice
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  11. 10 August 2010

    Carrington Securities LP

    Unsolicited Offer for DNZ Property Fund Limited Shares
    Tags
    Suspected scam, Scams
    Type
    Page

  14. 29 July 2010

    Code Committee Members Reappointed

    Commissioner for Financial Advisers David Mayhew has announced the reappointment of three members of the Code Committee. The Committee was established in July 2009 to draft a Code of Professional Conduct for Authorised Financial Advisers (AFAs).
    Tags
    Media release, News & Insights
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  15. 28 July 2010

    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.
    Tags
    Media release, News & Insights
    Type
    Page