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Past work and older topics

Auditors

A new regulatory regime for the audit industry will come into force from 1 July 2012. The Auditor Regulation Act 2011 establishes a co-regulatory oversight regime to regulate auditors and audit firms that undertake issuer audits.

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Disclosure of relevant interests by directors and officers

Sub-part 2 of part 2 of the Securities Markets Act 1988 requires directors and officers of a public issuer to disclose relevant interests and dealings in securities of the public issuer and any related body corporate.

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Disclosure requirements for non-bank deposit takers

We sought feedback on a proposal to require non-bank deposit takers to disclose standardised prudential information.

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Establishment of the Financial Markets Authority

Background information on the establishment of the Financial Markets Authority, the consolidated market conduct regulator for New Zealand's financial markets.

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Fee and levy changes

New levies for the Financial Markets Authority (FMA), External Reporting Board (XRB), and a new fee structure for the Companies Office have been finalised following a thorough consultation period with stakeholders.

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Futures exchanges and clearing and settlement systems

The regulatory framework for futures exchanges and clearing and settlement systems has been reviewed to create a more robust legislative framework to meet the expectations of potential international participants and support the introduction of emissions trading markets.

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Local authorities exemption

In 2008 amendments were made to the Securities Act 1978 to provide local authorities with an exemption from the full disclosure requirements of that act when issuing debt securities to the public.

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Possible regulation of online securities trader 'Unlisted'

On 1 August 2005, Hon Pete Hodgson announced his decision not to regulate the unlisted securities trading facility.

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Regulations for unsolicited offers

The Securities Markets (Unsolicited Offers) Regulations 2012 came into force on 1 December 2012.

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Review of financial products and providers

The review of financial products and providers was carried out from 2005 until 2008.

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Review of Franchising Regulation

Following reports of alleged fraud involving franchises, a review of franchising regulation was initiated by the Minister of Commerce.

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Review of securities trading law

The Review of Securities Trading Law (2002-2008) developed the current provisions of the Securities Markets Act governing insider trading and market manipulation, and disclosure by substantial security holders were developed in this review. The review culiminated in the Securities Markets Amendment Act 2006 (based on the Securities Legislation Bill) and regulations.

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Securities Amendment Regulations 2007

These regulations amend the Securities Regulations 1983 to provide additional clauses that are deemed to be included in the trust deeds of finance companies.

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Securities Disclosure and Financial Advisers Amendment Bill

The Securities Disclosure and Financial Advisers Amendment Bill aimed to provide greater certainty and reduced costs for businesses raising capital during the global financial crisis.

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Securities Regulations 2009

The Securities Regulations 2009 were made on 24 August 2009 and replace the Securities Regulations 1983.

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Securities trustees

Cabinet has agreed to the drafting of regulations under the Securities Trustees and Statutory Supervisors Act 2011.

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Trans-Tasman securities

The agreement between the governments of New Zealand and Australia in relation to mutual recognition of securities offerings came into force on 13 June 2008.

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Last updated 11 November 2013