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Media releases – 2019

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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.

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.

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.

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.

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.

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).

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Media releases – 2019

Finance & Investments Partners Enforceable Undertaking

Dominion and North South Finance Directors Charged

Financial Advisers Urged to Get Ready for Regulation

Securities Commission Welcomes Commerce Commission Settlement with ANZ and ING

Investment Adviser and Broker Banned

Guide for Authorised Financial Advisers Released

Commission Finds Instances Where Investors Entitled to Refunds

Criminal Charges Laid Against Lombard Directors

Civil Proceedings Served on Lombard Finance & Investments Directors

Commission to Sue Nuplex Industries Limited and Directors