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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.
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.
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.
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).
Securities Commission investigations into finance companies have found that many investors are entitled to refunds on their investments.
The Securities Commission has laid criminal charges against Lombard Finance & Investments directors Sir Douglas Graham, Michael Reeves, William Jeffries and Lawrence Bryant. Read more.
The Securities Commission has issued civil proceedings under the Securities Act against Lombard Finance & Investments directors Sir Douglas Graham, Michael Reeves, William Jeffries and Lawrence Bryant. Read more.
The Securities Commission filed 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. Read more.