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2004 Annual Report

THE YEAR IN BRIEF

THE COMMISSION

completed 181 enforcement and surveillance matters including 12 insider trading inquiries
prohibited three offer documents and advertisements that did not comply with the law
accepted 10 enforceable undertakings from market participants to rectify breaches of the law
began a Court proceeding for suspected breach of substantial security holder law
successfully defended two judicial review proceedings
advised the Minister of Commerce on five sets of NZX Conduct Rules
made submissions on the Business Law Reform Bill and proposed reforms to securities trading law
granted class authorisations for NZX Futures and Options Participants and Sydney Futures Exchange Participants
approved NZX Futures and Options Participant Rules
granted class exemptions in respect of officers and directors disclosure to ease compliance with the new disclosure laws
hosted the Asia Pacific Regional Committee of IOSCO
was elected Deputy Chairman of the Asia Pacific Regional Committee of IOSCO
was accepted as a signatory of the IOSCO multilateral MOU
signed bilateral MOUs with our counterparts in China, Indonesia, and Malaysia
hosted delegations from overseas regulators
took part in the IMF's Financial Sector Assessment Programme
met with the Australian Securities and Investments Commission
published Corporate Governance in New Zealand - Principles and Guidelines and a Corporate Governance Handbook for Directors, Executives, and Advisers
launched an education programme with the aim of "helping New Zealanders make better investment decisions"

THE CHAIRMAN OF THE COMMISSION

was elected Chairman of the Executive Committee of IOSCO for a two year term

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