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AML/CFT - Information about the requirements under the anti-money laundering and countering financing of terrorism law.
News Release: Commissioner for financial advisers receives draft code of professional conduct
News Release: 30 July 2010
News Release: Code Committee members reappointed
News Release: 29 July 2010
News Release: Issuers could improve corporate governance reporting
News Release: 28 July 2010
Publication: Review of corporate governance disclosures by selected issuers
Publication: 28 July 2010
News Release: Warning: Unsolicited offer for Dorchester Finance debentures
News Release: 28 July 2010
Vacancy: Solicitor - Legal and Policy Team
Vacancy: 20 July 2010
Guidance Note: Application of the Securities Markets Act 1988 to Commodities Futures Contracts
Guidance Note: 16 July 2010
News Release: Finance & Investment partners enforceable undertaking
News Release: 16 July 2010
Enforceable undertaking: Finance & Investments partners
Enforceable undertaking: 16 July 2010
News Release: Dominion and North South Finance directors charged
News Release: 7 July 2010
News Release: Financial advisers urged to get ready for regulation
News Release: 25 June 2010
News Release: No conflict of interest
News Release: 25 June 2010
Minister's News Release: Financial service changes passed unanimously
Minister's Release: 23 June 2010
Minister's News Release: Minister welcomes discussion document on securities law
Minister's Release: 22 June 2010
Enforceable undertaking: ANZ National Bank Limited and ING (NZ) Limited
Enforceable undertaking: 22 June 2010
News Release: Securities Commission welcomes Commerce Commission settlement with ANZ and ING
News Release: 22 June 2010
Minister's News Release: Aorangi Securities, charitable trusts, and Hubbards placed into statutory management
Minister's Release: 20 June 2010
Consultation: Proposed transitional exemption
Consultation: 16 June 2010
News Release: Investment adviser and broker banned
News Release: 14 June 2010
News Release: Warning: Further unsolicited offer for Strategic Finance debentures
News Release: 11 June 2010
Speech: Time for a paradigm shift in thinking
Speech: 10 June 2010
News Release: Guide for Authorised Financial Advisers released
News Release: 2 June 2010
Publication: AFA Adviser Business Statement Guide
Publication: 2 June 2010
News Release: Commission finds instances where investors entitled to refunds
News Release: 28 May 2010
Minister's News Release: Capital Market recommendations progressing well
Minister's Release: 26 May 2010
Minister's News Release: Minister announces board to set up Financial Markets Authority
Minister's Release: 26 May 2010
Publication: Statement of Intent 2010 - 2013
Publication: 26 May 2010
Speech: The role of the accounting profession in enhancing the integrity of the capital markets
Speech: 20 May 2010
News Release: Warning: Offer of securities by 9999 Gold Mining Corporation
News Release: 6 May 2010
News Release: Warning: Unsolicited offer for St Laurence Finance debentures
News Release: 6 May 2010
Publication: The Bulletin April 2010
Publication: 5 May 2010
Minister's News Release: Cabinet agrees to change financial adviser regime
Minister's Release: 3 May 2010
Minister's News Release: Government to improve KiwiSaver regulation
Minister's Release: 28 April 2010
Minister's News Release: Financial adviser compliance pathway announced
Minister's Release: 28 April 2010
Minister's News Release: Government announces 'super-regulator' for financial markets
Minister's Release: 28 April 2010
Minister's News Release: Auditor oversight in hands of super-regulator
Minister's Release: 28 April 2010
Speech: The regulatory landscape - what needs to change
Speech: 27 April 2010
Minister's News Release: Securities Commission member steps down
Minister's Release: 26 April 2010
Publication: Financial Reporting Surveillance Programme Cycle 11
Publication: 20 April 2010
Speech: Regulation in Derivatives Markets
Speech: 19 April 2010
News Release: Criminal charges laid against Lombard directors
News Release: 15 April 2010
Minister's News Release: Securities Commission member resigns
Minister's Release: 14 April 2010
News Release: Commission to sue Nuplex Industries Limited and directors
News Release: 13 April 2010
News Release: Civil proceedings served on Lombard Finance & Investments directors
News Release: 13 April 2010
Speech: The work of IOSCO and the financial regulatory framework
Speech: 9 April 2010
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