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  1. 16 July 2010

    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.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  2. 7 July 2010

    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. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  3. 1 July 2010

    Review of Corporate Governance Disclosure by Selected Issuers

    The purpose of this report is to inform governing bodies, investors and other stakeholders of our findings so that they can reflect critically on the governance practices and disclosures of issuers.
    Tags
    Governance, Directors, Offer disclosure for equity and debt offers, Roles, Reports and Papers, Business, FMA, News & Insights
    Type
    Page

  5. 1 July 2010

    Review of Corporate Governance Disclosure by Selected Issuers

    This 2010 report presents the findings of the Securities Commission’s review of corporate governance reporting. The purpose of this report is to inform governing bodies of our findings so that they can reflect critically on their governance practices and disclosures. In so doing, we aim to promote high standards of corporate governance by issuers and ultimately improve confidence in New Zealand’s capital markets. The report was published in 2010.
    Tags
    Governance, Reports and Papers, Derivative Issuer, Roles, Directors, Business, FMA, News & Insights
    Type
    PDF

  7. 25 June 2010

    Financial Advisers Urged to Get Ready for Regulation

    The Commissioner for Financial Advisers, David Mayhew, has urged advisers to get ready for the new regulatory regime. He also updated the Securities Commission's financial adviser implementation timetable.
    Tags
    Media release, News & Insights
    Type
    Page

  8. 22 June 2010

    Securities Commission Welcomes Commerce Commission Settlement with ANZ and ING

    The Securities Commission welcomes the settlement that relates to the Commerce Commission's investigation into alleged breaches of the Fair Trading Act 1986 by ANZN and ING and other entities in relation to the marketing, promotion and sale of the ING Diversified Yield Fund and ING Regular Income Fund. Read more.
    Tags
    Media release, News & Insights
    Type
    Page

  11. 22 June 2010

    ANZN and ING

    As part of this settlement ING and ANZN have accepted that some of the representations made in marketing material and by ANZ advisors may have breached the Fair Trading Act and they have agreed to make payments totalling $45 million to affected investors. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  12. 14 June 2010

    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.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  13. 2 June 2010

    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. The guide explains the document to be prepared by an adviser applying to become an Authorised Financial Adviser (AFA).
    Tags
    Media release, News & Insights
    Type
    Page, Guidance

  15. 6 May 2010

    9999 Gold Mining Corporation

    The Securities Commission warns the public to be wary of 9999 Gold Mining Corporation who does not have a registered prospectus or investment statement for its offer of securities.
    Tags
    Suspected scam, Scams
    Type
    Page