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  6. 8 June 2006

    The Gables Limited (TGL), Combined Financial Services Limited (CFS) and Aoraki Commerical Property Limited (ACP)

    The Securities Commission formed the view that the offer made by TGL and the advertisement of the offer by CFS and ACP in 2006 did not comply with section 33(1) of the Act in that it was not made in or accompanied by an investment statement that complied with the Act and the Securities Regulations 1983, nor was it made in an authorised advertisement, nor in or accompanied by a registered prospectus that complied with the Act and Regulations. Read more.
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    Enforceable undertaking, Powers, Enforcement
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  12. 7 July 2005

    Braemar Lodge 2004 Limited

    Braemar Lodge 2004 Limited offered participatory securities for subscription in conjunction with individual unit titles under the Unit Titles Act 1972 without a registered prospectus, investment statement or deed of participation. Braemar and the directors(Neil Gurdjieff Dougan, Ernest Ross Thomson) were, at the time of the offer, unaware that the offers had been made in contravention of the Securities Act 1978. Read more.
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    Enforceable undertaking, Powers, Enforcement
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  13. 7 July 2005

    Alpine Pacific Developments Limited

    Alpine Pacific Developments Limited has offered participatory securities for subscription in conjunction with individual unit titles under the Unit Titles Act 1972 since December 2004. It has done so without a registered prospectus, investment statement or deed of participation. No allotments of the securities have yet occurred. Alpine and the directors(Neil Gurdjieff Dougan, Ernest Ross Thomson) were, at the time of the offer, unaware that the offers had been made in contravention of the Securities Act 1978. Read more.
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    Enforceable undertaking, Powers, Enforcement
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  15. 4 July 2005

    Monaco Village Holdings Limited

    This undertaking is offered to the Securities Commission for acceptance under section 69J of the Securities Act 1978 by Monaco Village Holdings Limited and its directors (Robert Michael Gepp and Roderick Hugh Duke) after unintentional contravention of Securities Act 1978 and Securities Regulations 1983. Read more.
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    Enforceable undertaking, Powers, Enforcement
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