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2010 New Zealand Securities Commission

February 2010

• Credit ratings for non-bank deposit takers - disclosure guidance. Interim Guidance Note [2010] NZSecCom 1 (28 February 2010)

March 2010

• KiwiSaver Distribution and Disclosure. Guidance Note [2010] NZSecCom 2 (24 March 2010)
• The designation and oversight of designated settlement systems [2010] NZSecCom 3 (26 March 2010)
• Distinguishing the boundary between a financial planning service and advice. Guidance Note. [2010] NZSecCom 4 (29 March 2010)

April 2010

• Request for comment on amendments made in April 2009 to the NZX listing rules - consultation [2010] NZSecCom 5 (1 April 2010)

May 2010

• Financial reporting aurveillance programme. Review of financial reporting by issuers Cycle 11 [2010] NZSecCom 6 (1 May 2010)

June 2010

• AFA Adviser business statement guide - Draft code edition [2010] NZSecCom 7 (1 June 2010)

July 2010

• Review of corporate governance disclosures by selected issuers [2010] NZSecCom 9 (1 July 2010)
• Application of the Securities Markets Act 1988 to Commodities Futures Contracts [2010] NZSecCom 8 (16 July 2010)

August 2010

• Letter from the Commissioner for Financial Advisers to the Chairman of the Code Committee [2010] NZSecCom 11 (17 August 2010)

September 2010

• Letter from the Commissioner for Financial Advisers to the Minister of Commerce [2010] NZSecCom 12 (1 September 2010)
• QFE Adviser Business Statement Guide [2010] NZSecCom 13 (1 September 2010)
• Request for comment on proposed standard conditions for authorised financial advisers - consultative document [2010] NZSecCom 14 (9 September 2010)

October 2010

• Standard conditions for Qualifying Financial Entities (qfes). Disclosure and related matters [2010] NZSecCom 17 (21 October 2010)
• Standard conditions for Qualifying Financial Entities (QFEs) [2010] NZSecCom 15 (28 October 2010)
• Standard conditions for Authorised Financial Advisers [2010] NZSecCom 18 (28 October 2010)
• Financial reporting surveillance programme. Review of financial reporting by issuers Cycle 12 [2010] NZSecCom 16 (31 October 2010)

November 2010

• AFA Authorisation Guide [2010] NZSecCom 10 (1 November 2010)
• Response to submissions on consultation paper - standard conditions for AFAs [2010] NZSecCom 19 (5 November 2010)
• Exemptions: Financial Advisers Act 2008 - guidance note [2010] NZSecCom 20 (5 November 2010)
• Code of Professional Conduct for Authorised Financial Advisers [2010] NZSecCom 21 (5 November 2010)

December 2010

• Finance Company Investigations [2010] NZSecCom 22 (1 December 2010)
• Class exemption review [2010] NZSecCom 23 (1 December 2010)
• Reporting and notifications standard conditions for Qualifying Financial Entities [2010] NZSecCom 24 (22 December 2010)
• Standard conditions for qualifying Financial Entities [2010] NZSecCom 25 (22 December 2010)