• Home
• Regulation
• Securities & Financial Markets

• Securities & Financial Markets

• Futures Exchanges
• Financial Intermediaries
• Financial Products & Providers
• Unlisted & Securities Exchange
• Local Authorities Exemption
• Securities Amendment Reg's
• Securities Trading Law
• Securities Commission
• Takeovers Code Introduction
• Trans-Tasman Securities
• Archive

The Ministry develops policy relating to the regulation of New Zealand's capital markets, conduct of its participants and the enforcement bodies that oversee the market.

We are also involved in a review of financial services, financial products, and financial intermediaries. By developing an effective and consistent framework for regulation we can promote confidence and participation in financial markets for investors and institutions.

• Futures Exchanges and Clearing and Settlement Systems
  Reform of the Law relating to Futures Exchanges and Clearing and Settlement Systems to support emissions trading.
• Financial Intermediaries
  Work on the regulation of Financial Intermediaries to ensure disclosure, competency and accountability of financial advisers and promote confidence in the financial sector which encourages participation by consumers and market participants.
• 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.
• 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
• 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.
• Review of Securities Trading Law
  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.
• Securities Commission
  The Securities Commission is New Zealand's main regulator of investments.
• Takeovers Code Introduction
  The Takeovers Code came into force on 1 July 2001. The Takeovers Panel have recommended a number of technical amendments to the Takeovers Code. These technical amendments have been approved by Cabinet.
• Trans-Tasman Mutual Recognition of Offers of Securities and Managed Investment Scheme Interests
  Work on establishing a regime for mutual recognition of securities offerings between New Zealand and Australia.
• Archive
  Securities and Financial Markets topics which are no longer current can be found in the archive section.