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  1. 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

  2. 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

  5. 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

  6. 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

  7. 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

  9. 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

  10. 6 May 2010

    Stock & Share Trading Company Pty Limited

    FMA cautioned investors to be wary of unsolicited offers being made by Stock & Share Trading Company Pty Limited for shares and other securities. Stock & Share's offers are often significantly less than the market value of the securities. Read more.
    Tags
    Type
    Page

  11. 30 April 2010

    Corman Oil Limited

    Corman Oil Limited appealed to Securities Commission against a decision of Registrar of Companies to refuse registration of Corman Oil Limited prospectus dated 2 February 2010, in accordance with section 42 of the Securities Act 1978. Read more.
    Tags
    Misleading statement, Breach, Enforcement
    Type
    Page

  12. 15 April 2010

    Criminal Charges Laid Against Lombard Directors

    The Securities Commission has laid criminal charges against Lombard Finance & Investments directors Sir Douglas Graham, Michael Reeves, William Jeffries and Lawrence Bryant. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  13. 13 April 2010

    Civil Proceedings Served on Lombard Finance & Investments Directors

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

  14. 13 April 2010

    Commission to Sue Nuplex Industries Limited and Directors

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