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Other Publications
The Commission's publications other than annual reports,The Bulletin, discussion documents and Statements of Intent, are listed below.
Publications from 1991 to 1997 are available in PDF only. Some of these files are very large and may take a long time to open.
All publications are also available in hard copy. To order hard copies email seccom@seccom.govt.nz or call: 04 472 9830.
December 1997 to present |
Choosing an investment adviser. Securities Commission brochure. February 2008 HTML » |
Recommendation for regulations to amend the Securities Regulations 1983. 11 February 2008 HTML » |
Review of Financial Reporting By Issuers Cycle 5 29 October 2007 HTML » |
Securities Commission Review of Class Exemption Notices - Update of Project Report 25 October 2007 HTML » |
Feltex Carpets Limited IPO Prospectus, Financial Reporting and Continuous Disclosure 11 October 2007 HTML » |
Securities Amendment Regulations 2007 18 September 2007 PDF(589KB) » |
Letter of agreement: Independent Audit Regulation and Oversight in New Zealand 23 August 2007 HTML » |
Securities Commission Review of Class Exemption Notices - Project Report 14 August 2007 HTML » |
Oversight Review of NZX 2006 28 June 2007 HTML » |
Financial Reporting Surveillance Programme Cycle 4. 1 June 2007 HTML » |
Oversight Review of NZX 2005 26 September 2006 HTML » |
Financial Reporting Surveillance Programme Cycle 3. 11 September 2006 HTML » |
Effects on the Securities Markets of certain statements made in May 2006 concerning telecommunications. 25 July 2006 HTML » |
Financial Reporting Surveillance Programme Cycle 2. 20 February 2006 HTML » |
An Inquiry Into the Performance by NZX of its Regulatory Functions as a Registered Exchange During 2003 and 2004 Prior to the Collapse of Access Brokerage. 13 December 2005 HTML » |
Information Control in Market Participant Firms - Report of an Inquiry Into Trading in the Shares of Wrightson Limited in June 2004. 14 November 2005 HTML » |
Briefing Paper for Minister of Commerce Hon Lianne Dalziel. 3 November 2005 HTML » |
Review of Financial Reporting by Issuers - Cycle 1. 9 August 2005 HTML » |
Report On Disclosure By Finance Companies. 22 April 2005 HTML » |
Securities Commission Practice Note No 3/2005 :Historical financial information in offer documents prepared in accordance with NZ IFRS. 17 March 2005 HTML » |
Report on Compliance by Registered Banks with the Securities Act 1978. 1 March 2005 HTML » |
Financial Reporting by Credit Unions - a Review. 22 December 2004 HTML » |
Securities Commission Practice Note No 2/2004: Prospective financial information in offer documents prepared in periods prior to adoption of NZ IFRS in historical financial statements. 30 September 2004 HTML » |
Aquiline Holdings Limited - review of registered prospectus and certain advertisements. 20 September 2004 HTML » |
Proposed Exemption for Employee Share Purchase Schemes of Unlisted Companies. 17 August 2004 HTML » |
Report on Statement by ABN AMRO Capital (Belgium) N.V. in Freightways Limited's Prospectus. August 2004 HTML » |
The Securities Commission – what we do and why. Securities Commission brochure. June 2004 HTML » |
Your right to know – get informed about investing. Securities Commission brochure. June 2004 HTML » |
How to spot a scam. Securities Commission brochure. June 2004 HTML » |
You can help stop fraud. Securities Commission brochure. June 2004 HTML » |
Securities Commission Practice Note No 1/2004 :Disclosure of relevant interests in securities by directors and officers of public issuers. 08 April 2004 HTML » |
Corporate Governance in New Zealand - Principles and Guidelines. 18 February 2004 HTML » |
FSAP -- An IMF-led Mission Team is to assess New Zealand's Financial Regulatory Framework in October 2003. 08 July 2003 HTML » |
Securities Commission's Inquiry into Aspects of Initial Public Offering (IPO) of Vertex Group Holdings Limited (Vertex). 14 March 2003 HTML » |
Strengthening Confidence in New Zealand's Capital Markets. 28 November 2002 HTML » |
A Report on Aspects of the Initial Public Offering of Wakefield Hospital Limited in 2001. 07 August 2002 HTML » |
Decision of the Securities Commission on the Request from Catharine Mary Franks Pursuant to Section 17 of the Securities Amendment Act 1988. 15 May 2002 HTML » |
Investment Advisers: A Case Study - Gideon Investment Pty Limited, Morison
Guildford & Associates Limited. 13 May 2002 HTML » |
Inquiry into the 1 Parliament Street Car-park Limited Contributory Mortgage Involving The Mortgage Financier Limited, Money Managers Limited and Securities Registry Limited. 03 May 2002 HTML » |
A Report on Certain Statements Made In Respect of Air New Zealand Limited in September 2001. 26 April 2002 HTML » |
Investment Adviser Law Reform: Formal Recommendations of the Securities Commission. 21 February 2002 HTML » |
Covering letter on Investment Advisers (Disclosure) Act 1996 to the Minister of Commerce. 21 February 2002 HTML » |
Commission Policy for Approval of Trustees and Statutory Supervisors. 25 January 2002 HTML » |
Insider Trading Law and Practice: Report on Questions Arising from an Inquiry into Trading in the Shares of Fletcher Challenge Limited in May 1999. 20 November 2000 HTML » |
Report on Trading in the Shares of Fletcher Challenge Limited in December 1999. 6 June 2000 HTML » |
Offers of Unlisted Interests in Commercial Properties - A Review. March 2000 HTML » |
Report on Aspects of the Affairs of Max Resources Limited (In Statutory Management) Vol 1 Substantial Securities Holder Disclosure and Directors' Conduct. January 2000 HTML » |
Report on Aspects of the Affairs of Max Resources Limited (In Statutory Management) Vol 2 Financial Statements. January 2000 HTML » |
Considerations in Explaining Investor Behaviour. September 1999 HTML » |
Investors' Opinions of Managed Funds Investment Statements. July 1999 HTML » |
Investors' Opinions On Offer Documents. 15 January 1999 HTML » |
Report on Inquiry into Trading in the Shares of McCollam Printers Limited. 18 December 1998 HTML » |
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