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BRIEFING PAPER FOR MINISTER OF COMMERCE
HON SIMON POWER

20 November 2008

CONTENTS

INTRODUCTION
CURRENT PUBLIC ISSUES
Supervision of financial advisers
Enforcement

Finance companies and mis-selling of financial products
Tranz Rail settlements

Law reform

Capital Market Development Taskforce
Disclosure under the Securities Regulations 1983
Securities Act review
Mutual recognition arrangements
Independent audit oversight

Market regulation
BACKGROUND
The Commission

Members of the Commission
Role and powers of the Commission
Resourcing - Vote Commerce

Relationships - the Government and regulatory environment

Registrar of Companies and National Enforcement Unit
Ministry of Economic Development - Business Law Unit
NZX
Takeovers Panel
Other agencies
Public education
Industry groups
Market participants

International relationships

International Organisation of Securities Commissions (IOSCO)
Australian Securities and Investments Commission
Other overseas securities regulators
Other overseas bodies

Securities markets

Primary and secondary markets
The listed securities markets
Futures markets
Unregistered securities markets
Collective investment schemes
Unlisted debt - finance companies, banks, corporate bonds
Intermediaries

APPENDIX - MEMBERS OF THE COMMISSION

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