Securities Law, Securities Markets Law and Settlement Systems

Financial Products and Providers
Work on the regulation of non-bank Financial Products and Providers to promote a sound and efficient financial system, investment and confidence in the financial sector which encourages participation by consumers and market participants.
Futures Exchanges and Clearing and Settlement Systems
Reform of the Law relating to Futures Exchanges and Clearing and Settlement Systems to support emissions trading.
Securities Markets (Disclosure of Relevant Interests by Directors and Officers) Amendment Regulations 2008
Review of Directors and Officers Disclosure of Relevant Interests.
Local Authorities Exemption
Reinstatement of the Local Authorities exemption from the full disclosure requirements of the Securities Act 1978 - local authorities would be required to produce only an investment statement with an accompanying certificate signed by two Councillors.
Securities Amendment Regulations 2007
The regulations amend the Securities Regulations 1983 to provide additional clauses that are deemed to be included in the trust deeds of finance companies.
Securities Markets Amendment Act 2006
New regulations have been enacted under the Securities Markets Act.
Review of Securities Legislation
The Securities Legislation Bill was enacted by Parliament on 12 October 2006. Subsequent Securities Markets Regulations were enacted on 3 December 2007 and commence on 29 February 2008.
Unlisted & Securities Exchanges
On Monday 1 August 2005, Hon Pete Hodgson announced his decision not to regulate the Unlisted securities trading facility at this time. A link to officials' final advice to the Minister recommending that Unlisted not be declared subject to the Securities
Changes to the Securities Regulations
This discussion document proposes a number of changes to the securities regulations derived from the Securities Commission’s review of the Securities Regulations 1983 and specific recommendations of the CMDT.
Reform of Securities Act 1978
Work is now underway to reform the 1978 Securities Act. Found here are details of the scope and areas for policy review.