 |
|
 |
|
Discussion documents since 1991
These documents that have been previously open for public consultation. All of these publications can be viewed and downloaded by clicking on the date. To order a hard copy of the publication please email us at seccom@seccom.govt.nz.
| ||||||
|
|
|||||
| ||||||
| 21 December 2007 | |
Consultation Document - Investment Adviser Statements | ||||
| ||||||
|
|
|||||
| ||||||
| 04 April 2007 | |
Proposal to Declare Certain Derivative Contracts to be Futures Contracts Under the Securities Markets Act 1988 | ||||
| ||||||
|
|
|||||
| ||||||
| 24 April 2006 | |
Proposal to Declare Certain Foreign Exchange Contracts to be Futures Contracts Under the Securities Markets Act 1988. | ||||
| ||||||
|
|
|||||
| ||||||
| 29 April 2005 | |
NZFOX Share Options Contracts - Declaration as a Futures Contract in Terms of the Securities Markets Act 1988. | ||||
| ||||||
|
|
|||||
| ||||||
| 29 April 2005 | |
Proposed Class Exemption For Share And Unit Purchase Plans - Discussion Paper. | ||||
| ||||||
|
|
|||||
| ||||||
| 24 September 2004 | |
Disclosure by Finance Companies - Discussion Paper. | ||||
| ||||||
|
|
|||||
| ||||||
| 17 August 2004 | |
Proposed Exemption for Employee Share Purchase Schemes of Unlisted Companies. | ||||
| ||||||
|
|
|||||
| ||||||
| 05 September 2003 | |
Corporate Governance in New Zealand - Consultation on Issues and Principles. | ||||
| ||||||
|
|
|||||
| ||||||
| 19 December 2002 | |
Securities Commission Policy in Respect of Futures Dealer Authorisations - Discussion Paper. | ||||
| ||||||
|
|
|||||
| ||||||
| 17 June 2002 | |
Proposed Conduct Rules of the NZSE - Discussion Paper. | ||||
| ||||||
|
|
|||||
| ||||||
| 11 March 2002 | |
Securities Commission Policy in Respect of Section 6(1) of the Securities Amendment Act 1988. A Discussion Paper. | ||||
| ||||||
|
|
|||||
| ||||||
| 27 August 2001 | |
Law Reform: Investment Advisers. A Discussion Paper. | ||||
| ||||||
|
|
|||||
| ||||||
| 31 May 2001 | |
Offers Of Securities In Takeover Bids. A Discussion Paper. | ||||
| ||||||
|
|
|||||
| ||||||
| 25 May 2001 | |
Securities Commission Policy in Respect of Approval of Trustees and Statutory Supervisors. A Discussion Paper. | ||||
| ||||||
|
|
|||||
| ||||||
| 20 October 2000 | |
Request for Comment on a Proposed Extension to the Stock Exchange's FASTER Electronic Securities Transfer System. | ||||
|
 |
|||||
|
||||||
| ||||||
| October 2000 | |
Proposed Exemption for Financial Institutions Offering Debt Securities to the Public | ||||
| ||||||
|
|
|||||
| ||||||
| September 2000 | |
Insider Trading Discussion Document by the Ministry of Economic Development | ||||
| ||||||
|
|
|||||
| ||||||
| 05 July 2000 | |
Review of the Securities Regulations 1983 (Stage One). Discussion Document. Published jointly with the Ministry of Economic Development. | ||||
| ||||||
|
|
|||||
| ||||||
| 07 June 2000 | |
Binding Rulings on Securities Law. A Discussion Paper. | ||||
| ||||||
|
|
|||||
| ||||||
| 23 May 2000 | |
Resident Funded Retirement Village Schemes. A Discussion Paper. | ||||
| ||||||
|
|
|||||
| ||||||
| 25 November 1999 | |
Discussion Paper - Class Exemption for Unit Trusts and Superannuation Schemes | ||||
| ||||||
|
|
|||||
| ||||||
| 8 December 1997 | |
A Discussion Paper on Life Insurance Law and Practices. | ||||
| ||||||
|
|
|||||
| ||||||
| 26 September 1997 (PDF, 1.38 Mb) | |
Request for Comment on the Stock Exchange's Proposed Securities Transfer System. | ||||
| ||||||
|
|
|||||
| ||||||
| 18 September 1996 (PDF, 884Kb) | |
Proposed New Substantial Security Holder Regulations. Discussion Paper. | ||||
| ||||||
|
|
|||||
| ||||||
| 19 July 1996 (PDF, 1.39Mb) | |
Equity Warrants. Discussion Paper. | ||||
| ||||||
|
|
|||||
| ||||||
| 4 October 1995 (PDF, 365Kb) | |
Commercial Property Ownership Schemes and the Securities Act 1978. Discussion Paper. | ||||
| ||||||
|
|
|||||
| ||||||
| 28 September 1995 (PDF, 875Kb) | |
Review of the Law on Insider Trading. Discussion Paper. | ||||
| ||||||
|
|
|||||
| ||||||
| 1995 (PDF, 2.35Mb) | |
Advertising by Registered Banks Proposal by the Securities Commission for Amendments to the Securities Regulations 1983. Discussion Paper. | ||||
| ||||||
|
|
|||||
| ||||||
| June 1995 (PDF, 1.24Mb) | |
The Securities Act 1978 - Possible Amendments. Discussion Paper. | ||||
| ||||||
|
|
|||||
| ||||||
| 28 November 1994 (PDF, 425Kb) | |
Overseas Issuers - New Issues - Proposed Exemption Notice 1995. Discussion Paper. | ||||
| ||||||
|
|
|||||
| ||||||
| 11 August 1994 (PDF, 905Kb) | |
Review of the Law on Disclosure by Substantial Security Holders. Discussion Paper. | ||||
| ||||||
|
|
|||||
| ||||||
| 11 August 1994 (PDF, 420Kb) | |
Review of the Law on Insider Trading. Discussion Paper. | ||||
| ||||||
|
|
|||||
| ||||||
| 14 July 1994 (PDF, 285Kb) | |
Recommendations for Amendment of Part III Securities Amendment Act 1988. Discussion Paper. | ||||
| ||||||
|
|
|||||
| ||||||
| 1 September 1992 (PDF, 4.24Mb) | |
Review of the Business Practices of Investment Advisers and Financial Planners. Discussion Paper. | ||||
| ||||||
|
|
|||||
| ||||||
| July 1992 (PDF, 1.65Mb) | |
Dual Trading in the New Zealand Futures Market. Discussion Paper. | ||||
| ||||||
|
|
|||||
| ||||||
| February 1992 (PDF, 2.29Mb) | |
Requirements For Debt Security Prospectuses. Securities Regulations 1983. Accounting for Investments of the Borrowing Group in Non-Guaranteeing Subsidiaries. Discussion Paper. | ||||
| ||||||
|
|
|||||
| ||||||
| July 1991 (PDF, 1.70Mb) | |
The Regulation of Profit Forecasts and Other Forecast Information in Prospectuses for Equity Securities. Discussion Paper. | ||||
| ||||||
|
|
|||||
| ||||||
| July 1991 (PDF, 4.37Mb) | |
The Corporations (Investigation and Management) Act 1989. Discussion Paper. | ||||
| ||||||
|
|
|||||
| ||||||