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Recent New Zealand Securities Commission

April 2011

• NZX Oversight Review 1 January 2009 – 30 June 2010 [2011] NZSecCom 8 (30 April 2011)
• Financial reporting surveillance programme. Review of financial reporting by issuers cycle 14 [2011] NZSecCom 7 (15 April 2011)
• Recent offers by limited partnerships associated with Mr Bernard Whimp to purchase shares [2011] NZSecCom 6 (12 April 2011)

March 2011

• Interim Court orders relating to Whimp partnerships [2011] NZSecCom 5 (24 March 2011)
• Anti-money laundering and countering the financing of terrorism. Sector risk assessment [2011] NZSecCom 4 (20 March 2011)
• Orders relating to Whimp partnerships [2011] NZSecCom 3 (18 March 2011)
• Offering securities in New Zealand and Australia under mutual recognition [2011] NZSecCom 2 (1 March 2011)
• Financial reporting surveillance programme. Review of financial reporting by issues cycle 13 [2011] NZSecCom 1 (1 March 2011)

December 2010

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

November 2010

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

October 2010

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

September 2010

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

August 2010

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

July 2010

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

June 2010

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

May 2010

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

April 2010

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

March 2010

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

February 2010

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

December 2009

• Oversight Review of NZX 2008 [2009] NZSecCom 10 (23 December 2009)
• QFE Adviser Business Statement Guide [2009] NZSecCom 9 (23 December 2009)
• Financial reporting surveillance program. Review of financial reporting by issuers cycle 10 [2009] NZSecCom 8 (18 December 2009)

November 2009

• The Designation and oversight of designated settlement systems. Consultation document [2009] NZSecCom 7 (30 November 2009)

September 2009

• Report on the effectiveness of New Zealand's Securities Commission [2009] NZSecCom 6 (1 September 2009)

August 2009

• Financial Reporting Surveillance Programme. Review of Financial Reporting by Issuers Cycle 9 [2009] NZSecCom 5 (1 August 2009)

June 2009

• Staff Paper on Regulating and Supervising Financial Advisers. Discussion document [2009] NZSecCom 4 (18 June 2009)

April 2009

• Staff Paper On Authorised Financial Adviser Competence. Discussion document [2009] NZSecCom 3 (20 April 2009)

March 2009

• Financial Reporting Surveillance Programme. Review of Financial Reporting by Issuers Cycle 8 [2009] NZSecCom 2 (31 March 2009)

January 2009

• Offering securities in New Zealand and Australia under mutual recognition (2009 revised edition) [2009] NZSecCom 1 (21 January 2009)

December 2008

• Exemptions for listed share purchase plans and rights offers. Discussion document [2008] NZSecCom 12 (23 December 2008)
• Moratorium proposals - what investors should consider [2008] NZSecCom 11 (3 December 2008)

November 2008

• Briefing paper for the Minister of Commerce Hon Simon Power [2008] NZSecCom 10 (20 November 2008)
• Deposit Guarantee Scheme - further exemption proposals. Consultative document [2008] NZSecCom 9 (14 November 2008)

October 2008

• Deposit Guarantee Scheme - disclosure proposals. Consultative document [2008] NZSecCom 8 (16 October 2008)

September 2008

• Request for approval of Austraclear NZ's proposed electronic registry interface under section 7 of the Securities Transfer Act - Consultative document [2008] NZSecCom 7 (1 September 2008)

August 2008

• Financial reporting surveillance programme - Review of financial reporting by issuers cycle 7 [2008] NZSecCom 6 (6 August 2008)

June 2008

• Oversight Review of NZX 2007 [2008] NZSecCom 5 (20 June 2008)
• Offering securities in New Zealand and Australia under mutual recognition [2008] NZSecCom 13 (13 June 2008)

March 2008

• Responsible investment disclosure by KiwiSaver scheme providers - Guidance note [2008] NZSecCom 4 (20 March 2008)

February 2008

• Financial reporting surveillance programme. Review of financial reporting by issuers cycle 6 [2008] NZSecCom 3 (29 February 2008)
• Recommendation for regulations to amend the Securities Regulations 1983 [2008] NZSecCom 1 (11 February 2008)

December 2007

• Investment adviser statements - consultative document [2007] NZSecCom 11 (21 December 2007)
• New securities law for investment advisers and market participants 2008. A guide to new requirements under the Securities Markets Act 1988 [2007] NZSecCom 10 (20 December 2007)

October 2007

• Review of financial reporting by issuers cycle 5 [2007] NZSecCom 9 (29 October 2007)
• Securities Commission review of class exemption notices - update of project report [2007] NZSecCom 8 (25 October 2007)
• Feltex Carpets Limited IPO Prospectus, financial reporting and continuous disclosure [2007] NZSecCom 7 (11 October 2007)

September 2007

• Securities Amendment Regulations 2007 [2007] NZSecCom 6 (18 September 2007)

August 2007

• Letter of agreement: independent audit regulation and oversight in New Zealand [1997] NZSecCom 5 (23 August 2007)
• Securities Commission review of Class Exemption Notices - project report [2007] NZSecCom 4 (14 August 2007)

June 2007

• Oversight review of NZX 2006 [2007] NZSecCom 3 (28 June 2007)

May 2007

• Financial reporting surveillance programme cycle 4 [2007] NZSecCom 2 (31 May 2007)

April 2007

• Proposal to declare certain derivative contracts to be Futures Contracts Under the Securities Markets Act 1988 [2007] NZSecCom 1 (3 April 2007)

September 2006

• Oversight review of NZX 2005 [2006] NZSecCom 5 (26 September 2006)
• Financial Rreporting surveillance programme cycle 3 [2006] NZSecCom 4 (11 September 2006)

July 2006

• Effects on the Securities Markets of certain statements made in May 2006 concerning telecommunications [2006] NZSecCom 3 (25 July 2006)

April 2006

• Proposal to declare certain Foreign Exchange Contracts to be Futures Contracts under the Securities Markets Act 1988 [2006] NZSecCom 2 (24 April 2006)

February 2006

• Financial reporting surveillance programme Cycle 2 [2006] NZSecCom 1 (20 February 2006)

December 2005

• 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 [2005] NZSecCom 9 (13 December 2005)

November 2005

• Information control in market participant firms - Report of an inquiry into trading in the shares of Wrightson Limited in June 2004 [2005] NZSecCom 8 (14 November 2005)
• Briefing paper for Minister of Commerce Hon Lianne Dalziel [2005] NZSecCom 7 (3 November 2005)

August 2005

• Review of financial reporting by issuers - Cycle 1 [2005] NZSecCom 6 (4 August 2005)

April 2005

• NZFOX Share options contracts - Declaration as a futures contract in terms of the Securities Markets Act 1988 [2005] NZSecCom 5 (29 April 2005)
• Proposed class exemption for share and unit purchase plans - Discussion paper [2005] NZSecCom 4 (29 April 2005)
• Report On disclosure By Finance Companies [2005] NZSecCom 3 (22 April 2005)

March 2005

• Historical financial information in offer documents prepared in accordance with NZ IFRS. Securities Commission practice note 3/2005 [2005] NZSecCom 2 (17 March 2005)
• Report on compliance by registered banks with the Securities Act 1978 [2005] NZSecCom 1 (1 March 2005)

December 2004

• Financial reporting by Credit Unions - a review [2004] NZSecCom 13 (22 December 2004)

September 2004

• Prospective financial information in offer documents prepared in periods prior to adoption of NZ IFRS in historical financial statements. Securities Commission practice note no 2/2004 (revised 18 December 2006) [2004] NZSecCom 12 (30 September 2004)
• Securities Commission policy in respect of approval of trustees and statutory supervisors. Disclosure by Finance Companies - discussion paper [2004] NZSecCom 11 (24 September 2004)
• Aquiline Holdings Limited - review of registered prospectus and certain advertisements [2004] NZSecCom 10 (20 September 2004)

August 2004

• Proposed exemption for employee share purchase schemes of unlisted companies. A discussion paper [2004] NZSecCom 9 (17 August 2004)
• Report on statement by ABN AMRO Capital (Belgium) N.V. in Freightways Limited's Prospectus [2004] NZSecCom 8 (1 August 2004)

June 2004

• The Securities Commission – what we do and why. Securities Commission brochure [2004] NZSecCom 7 (1 June 2004)
• Your right to know - get informed about investing. Securities Commission brochure [2004] NZSecCom 6 (1 June 2004)
• How to spot a scam. Securities Commission brochure [2004] NZSecCom 5 (1 June 2004)
• You can help stop fraud. Securities Commission brochure [2004] NZSecCom 4 (1 June 2004)

April 2004

• Disclosure of relevant interests in securities by directors and officers of public issuers - Securities Commission practice note 1/2004 [2004] NZSecCom 3 (8 April 2004)

March 2004

• Corporate governance in New Zealand. Principles and guidelines – a handbook for Directors, Executives, and Advisers [2004] NZSecCom 2 (16 March 2004)

February 2004

• Corporate governance in New Zealand - principles and guidelines [2004] NZSecCom 1 (18 February 2004)

September 2003

• Corporate Governance in New Zealand. Consultation of issues and pprinciples. Questionnaire [2003] NZSecCom 4 (5 September 2003)
• Corporate Governance in New Zealand. Consultation of issues and pprinciples. Background reference [2003] NZSecCom 3 (5 September 2003)

July 2003

• FSAP -- An IMF-led mission team is to assess New Zealand's financial regulatory framework in October 2003 [2003] NZSecCom 2 (8 July 2003)

March 2003

• Securities Commission's inquiry into aspects of initial public offering (IPO) of Vertex Group Holdings Limited (Vertex) [2003] NZSecCom 1 (14 March 2003)

December 2002

• Securities Commission policy in respect of Futures Dealer Authorisations - discussion paper [2002] NZSecCom 11 (18 December 2002)

November 2002

• Strengthening confidence in New Zealand's Capital Markets. A statement on certain aspects of corporate governance and financial reporting [2002] NZSecCom 10 (28 November 2002)

August 2002

• A Report on aspects of the initial public offering of Wakefield Hospital Limited in 2001 [2002] NZSecCom 9 (7 August 2002)

June 2002

• The proposed conduct rules of the New Zealand Stock Exchange. Public Consultation paper for the purpose of preparing advice to the Minister of Commerce in respect of the approval process under the New Zealand Stock Exchange Restructuring Act 2002 [2002] NZSecCom 8 (17 June 2002)

May 2002

• Decision of the Securities Commission on the request from Catharine Mary Franks pursuant to Section 17 of the Securities Amendment Act 1988 [2002] NZSecCom 7 (14 May 2002)
• Investment advisers: a case study - Gideon Investment Pty Limited, Morison Guildford & Associates Limited [2002] NZSecCom 6 (13 May 2002)
• Inquiry into the 1 Parliament Street Car-park Limited Contributory Mortgage involving The Mortgage Financier Limited, Money Managers Limited and Securities Registry Limited [2002] NZSecCom 5 (2 May 2002)

April 2002

• A Report on certain statements made in respect of Air New Zealand Limited in September 2001 [2002] NZSecCom 4 (26 April 2002)

March 2002

• Securities Commission policy in respect of section 6(1) of the Securities Amendment Act 1988. Discussion paper [2002] NZSecCom 3 (11 March 2002)

February 2002

• Investment Adviser Law Reform: Formal Recommendations of the Securities Commission [2002] NZSecCom 2 (21 February 2002)

January 2002

• Commission Policy for Approval of Trustees and Statutory Supervisors [2002] NZSecCom 1 (25 January 2002)

August 2001

• Law reform: Investment advisers. A discussion paper [2001] NZSecCom 3 (27 August 2001)

May 2001

• Offers of securities in takeover bids. A discussion paper [2001] NZSecCom 2 (31 May 2001)
• Securities Commission policy in respect of approval of trustees and statutory supervisors. A discussion paper [2001] NZSecCom 1 (25 May 2001)
• Review of the Functions of the Securities Commission and Takeovers Panel: Discussion Document [2001] NZSecCom 4 (1 May 2001)

November 2000

• Insider Trading Law and Practice: report on questions arising from an inquiry into trading in the shares of Fletcher Challenge Limited in May 1999 [2000] NZSecCom 10 (20 November 2000)

October 2000

• Request for comment on a proposed extension to the Stock Exchange's Faster Electronic Securities Transfer System [2000] NZSecCom 9 (20 October 2000)
• Proposed exemption for financial institutions offering debt securities to the public [2000] NZSecCom 8 (1 October 2000)

July 2000

• Review of the Securities Regulations 1983 (Stage One). Discussion document. Published jointly with the Ministry of Economic Development. [2000] NZSecCom 6 (5 July 2000)

June 2000

• Binding rulings on securities law - a discussion paper [2000] NZSecCom 5 (7 June 2000)
• [Report on trading in the shares of Fletcher Challenge Limited in December 1999 [2000] NZSecCom 4 (6 June 2000)

May 2000

• Retirement villages - discussion paper [2000] NZSecCom 3 (23 May 2000)

March 2000

• Offers of unlisted interests in commercial properties - a review [2000] NZSecCom 2 (30 March 2000)

January 2000

• Report of the Securities Commission on aspects of the affairs of Max Resources Limited (in statutory management) volume 1 and 2 [2000] NZSecCom 1 (18 January 2000)

November 1999

• Discussion paper - Class exemption for Unit Trusts and Superannuation Schemes [1999] NZSecCom 4 (24 November 1999)

September 1999

• Considerations in explaining investor behaviour. Occasional paper no.2 Author Michael Wydeveld [1999] NZSecCom 3 (1 September 1999)

July 1999

• Investors' Opinions of Managed Funds Investment Statements. Occasional paper no.1 Author Michael Wydeveld [1999] NZSecCom 2 (1 July 1999)

January 1999

• Investors' opinions on offer documents. Author Michael Wydeveld [1999] NZSecCom 1 (18 January 1999)

December 1998

• Report on Inquiry into trading in the shares of McCollam Printers Limited [1998] NZSecCom 1 (18 December 1998)

December 1997

• Discussion Paper on Life Insurance Law and Practices [1997] NZSecCom 4 (8 December 1997)

September 1997

• Request for comment on the Stock Exchange's proposed Securities Transfer System [1997] NZSecCom 3 (26 September 1997)

April 1997

• Equity Warrants. Policy paper [1997] NZSecCom 2 (22 April 1997)

March 1997

• Proposed Recommendation for Amendments to Securities Regulations 1983 as Notified in Gazette on 27 March 1997 [1997] NZSecCom 1 (27 March 1997)

November 1996

• Investment product and adviser disclosure - proposals for amendments to Securities Regulations [1996] NZSecCom 7 (1 November 1996)

September 1996

• Proposed new Substantial Security Holder regulations. Discussion paper [1996] NZSecCom 6 (18 September 1996)

July 1996

• Equity Warrants. Discussion paper [1996] NZSecCom 5 (19 July 1996)

June 1996

• Review of the Law on Insider Trading. Recommendations [1996] NZSecCom 4 (27 June 1996)

April 1996

• Report of an Inquiry Into Aspects of the Affairs of Metropolitan Lifecare Group Limited [1996] NZSecCom 3 (17 April 1996)

March 1996

• Review of the Nature and Extent of the Involvement of Nominees in the New Zealand Market - a report prepared by the Securities Commission [1996] NZSecCom 2 (1 March 1996)

February 1996

• Proposed recommendation Securities Act 1978. Recommendation for regulations to amend the Securities Regulations 1983 [1996] NZSecCom 1 (28 February 1996)

November 1995

• Takeover offer by Eltham Holdings Limited for all the shares of Fay Richwhite & Company Limited - repurchase of shares by Tranz Rail Limited [1995] NZSecCom 8 (17 November 1995)
• The Role of Professional Advisers in Takeover Situations [1995] NZSecCom 7 (1 November 1995)

October 1995

• Report of an inquiry into aspects of the affairs of Fortex Group Limited (In Receivership and in Liquidation) including trading in its listed securities [1995] NZSecCom 6 (13 October 1995)
• Commercial property ownership schemes and the Securities Act 1978. Discussion Paper [1995] NZSecCom 5 (5 October 1995)

September 1995

• Review of the Law on Insider Trading. Discussion Paper [1995] NZSecCom 4 (28 September 1995)

July 1995

• Advertising by registered Banks. Proposal by the Securities Commission for amendments to the Securities Regulations 1983. Discussion Paper [1995] NZSecCom 3 (1 July 1995)

June 1995

• The Securities Act 1978 - possible amendments. Discussion Paper [1995] NZSecCom 2 (1 June 1995)

May 1995

• Overseas issuers - new issues - proposed Exemption Notice 1995 Statement of proposals by the Securities Commission [1995] NZSecCom 1 (10 May 1995)

November 1994

• Overseas Issuers - new issues - Proposed exemption notice 1995. A discussion paper [1994] NZSecCom 7 (28 November 1994)

August 1994

• Review of the Law on Insider Trading - a discussion paper [1994] NZSecCom 5 (11 August 1994)
• Practice Note on the administration of the Rules about Insider Trading [1994] NZSecCom 3 (11 August 1994)
• Memorandum of understanding - Australian Securities Commission and New Zealand Securities Commission [1994] NZSecCom 4 (1 August 1994)

July 1994

• Report of an inquiry into aspects of the affairs of Regal Salmon Limited including trading in its listed securities [1994] NZSecCom 6 (28 July 1994)
• Report of an inquiry into the published financial statements of Apple Fields Limited [1994] NZSecCom 2 (20 July 1994)
• Recommendations for amendment of Part III Securities Amendment Act 1988. A Discussion Paper for public consultation [1994] NZSecCom 1 (14 July 1994)

December 1993

• Resident funded retirement villages. Proposals for reform of the law [1993] NZSecCom 5 (1 December 1993)
• Requirements for Debt Security Prospectuses. Accounting for investments by the borrowing group in non-guaranteeing subsidiaries. Statement of proposals by the Securities Commission for amendments to the Securities Regulations 1983 [1993] NZSecCom 4 (1 December 1993)

July 1993

• The Regulation of prospective financial information and other information in Registered Prospectuses - Proposals for Reform [1993] NZSecCom 3 (1 July 1993)

May 1993

• Report of an enquiry into certain arrangements entered into by the Bank of New Zealand in March 1988 [1993] NZSecCom 2 (24 May 1993)
• New Zealand Law Society - Commercial and Business Committee Proposed Practice Note On Insider Trading [1993] NZSecCom 7 (11 May 1993)

April 1993

• Regulation of Investment Advisors [1993] NZSecCom 6 (30 April 1993)

March 1993

• Report on Enquiry into London Pacific Limited (Receivers Appointed) [1993] NZSecCom 1 (1 March 1993)

September 1992

• Review of the business practices of Investment Advisers and Financial Planners - a discussion paper [1992] NZSecCom 6 (1 September 1992)

July 1992

• Opinion by W. Young QC provided pursuant to s17 of the Securities Amendment Act 1988 as to allegations of Insider Trading in Wilson Neill shares June 1990, September 1991 [1992] NZSecCom 7 (29 July 1992)
• Dual trading in the New Zealand Futures Market [1992] NZSecCom 5 (1 July 1992)

June 1992

• Report on Enquiry into Dealings in the voting securities of Gulf Resources Pacific Limited (formerly City Realties Limited) during the period November 1989 to January 1990 [1992] NZSecCom 4 (1 June 1992)

April 1992

• Statutory Management. Report to the Minister of Justice on Part III of the Corporations (Investigation and Management) Act 1989 [1992] NZSecCom 3 (1 April 1992)

February 1992

• Requirements for debt security prospectuses. Securities Regulations 1983. Accounting for investments of the borrowing group in non-guaranteeing subsidies - a Discussion Paper [1992] NZSecCom 2 (1 February 1992)

January 1992

• Securities Transfer Act 1991- NZSE Faster Proposal [1992] NZSecCom 1 (14 January 1992)

December 1991

• Securities Transfer Act 1991 - NZSE Faster Proposal [1991] NZSecCom 4 (24 December 1991)

October 1991

• Report on enquiry into the voting securities of Air New Zealand Limited [1991] NZSecCom 5 (1 October 1991)
• Report on enquiry into voting securities of Air New Zealand Limited [1991] NZSecCom 4 (1 October 1991)

July 1991

• Regulation of profit forecasts and other forecast information in prospectuses for equity securities - A Discussion Paper [1991] NZSecCom 3 (1 July 1991)
• The Corporations (Investigation and Management) Act 1989 - A Discussion Paper [1991] NZSecCom 2 (1 July 1991)
• Report on enquiry into a registered prospectus issued by Agricola Resources Limited [1991] NZSecCom 1 (1 July 1991)

November 1990

• Report of the Securities Commission on its Enquiry into Trading in the Five Year Government Stock No. 2 Futures Contract on the New Zealand Futures & Options Exchange in 1989 [1990] NZSecCom 2 (1 November 1990)

August 1990

• An Examination of Profit Forecast Disclosure in New Zealand Prospectuses. Report Prepared for the Securities Commission by Y T Mak [1990] NZSecCom 1 (1 August 1990)

December 1989

• Capital structure and financial reporting in New Zealand [1989] NZSecCom 3 (14 December 1989)

July 1989

• Interim Report of the Securities Commission re Robt. Jones Investments Limited ("RJI") - Purchase of a property from Chase Corporation Limited ("Chase") [1989] NZSecCom 2 (21 July 1989)

February 1989

• Timeshare Interests in New Zealand [1989] NZSecCom 1 (10 February 1989)

January 1989

• The Securities Amendment Act 1988 - Insider Trading - Disclosure of Interests in Listed Securities: A Summary [1989] NZSecCom 4 (1 January 1989)

October 1988

• Company Takeovers: Report to the Minister of Justice by the Securities Commission [1988] NZSecCom 2 (1 October 1988)

March 1988

• Interim Report of the Securities Commission on aspects of a proposal for a merger of Lion Corporation Limited and L.D. Nathan & Co Limited [1988] NZSecCom 1 (2 March 1988)

December 1987

• Report of the Securities Commission on Equiticorp Holdings Limited [1987] NZSecCom 2 (23 December 1987)
• Insider Trading. Report to the Minister of Justice by the Securities Commission. Volume 2 Footnotes and appendices [1987] NZSecCom 3 (1 December 1987)
• Insider Trading. Report to the Minister of Justice by the Securities Commission. Volume 1 Text and recommendations for legislation [1987] NZSecCom 1 (1 December 1987)

May 1986

• Report of the Securities Commission on an enquiry into aspects of the affairs of Perry Dines Corporation Limited (receivers appointed) [1986] NZSecCom 1 (22 May 1986)

December 1985

• Report of the Securities Commission on an enquiry into dealings in the shares of Emco Group Limited [1985] NZSecCom 4 (16 December 1985)
• Comment by the Securities Commission to the Members of Aurora Group Limited [1985] NZSecCom 3 (12 December 1985)

August 1985

• Further report of the Securities Commission on Sovereign Gold Mines Limited [1985] NZSecCom 2 (16 August 1985)

May 1985

• Draft proposals under the Securities Act 1978 for regulations relating to contributory mortgages - 5th draft [1985] NZSecCom 1 (30 May 1985)

March 1985

• Corporate Funding and Control - The Importance of the Equity Base - An Address to the 75th Anniversary Convention of the New Zealand Society of Accountants [1985] NZSecCom 5 (15 March 1985)

December 1984

• Report of the Securities Commission on Sovereign Gold Mines Limited [1984] NZSecCom 6 (20 December 1984)
• Draft proposals under the Securities Act 1978 for regulations relating to contributory mortgages - 4th draft [1984] NZSecCom 5 (20 December 1984)

August 1984

• Draft proposals under the Securities Act 1978 for regulations relating to contributory mortgages - 3rd draft [1984] NZSecCom 4 (31 August 1984)

July 1984

• Securities Commission Bulletin No.3 - Preparing to "go public" [1984] NZSecCom 3 (5 July 1984)

May 1984

• Securities Commission Bulletin no.2 - Pre-prospectus Publicity [1984] NZSecCom 2 (1 May 1984)

March 1984

• Securities Commission Bulletin no.1 [1984] NZSecCom 1 (1 March 1984)

October 1983

• Company Takeovers. A Review of the law and practice in New Zealand. Volume 3. Legislation in New Zealand and selected overseas jurisdictions [1983] NZSecCom 5 (5 October 1983)
• Company Takeovers. A Review of the law and practice in New Zealand. Volume 2. Reports of the Securities Commission on the takeovers of Bing Harris and Co Limited by Brierley Investments; Property Securities Limited by City Realties Limited; Canterbury Frozen Meat Company Limited by Primary Producers Co-Operative Society Limited [1983] NZSecCom 4 (5 October 1983)
• Company Takeovers - A Review of the Law and Practice [1983] NZSecCom 1 (5 October 1983)

July 1983

• Securities Act 1978 - Reform of the law about public offers of securities [1983] NZSecCom 3 (27 July 1983)

March 1983

• Code of Practice - Financial Advertising [1983] NZSecCom 6 (29 March 1983)

January 1983

• Equity Investment in New Zealand - a preliminary study of the role of equity investment in the New Zealand economy undertaken for the Securities Commission by the New Zealand Institute of Economic Research [1983] NZSecCom 2 (1 January 1983)

September 1982

• Proposed Second Draft. Draft Securities Regulations 1981. Part 00, Contributory Mortgages [1982] NZSecCom 3 (1 September 1982)

May 1982

• Nominee Shareholdings - Proposals for Legislation [1982] NZSecCom 2 (1 May 1982)

March 1982

• Nominee Shareholdings - Draft Proposals for Legislation [1982] NZSecCom 1 (20 March 1982)

December 1981

• Proposals under the Securities Act 1978 for Regulations Relating to Contributory Mortgages [1981] NZSecCom 3 (7 December 1981)

October 1981

• Second Draft - Proposed Recommendations for Securities Regulations [1981] NZSecCom 2 (27 October 1981)

January 1981

• Nominee Shareholdings in Public Companies. A Review of the law and practice with a proposal for reform [1981] NZSecCom 1 (1 January 1981)

March 1980

• Proposed recommendations for Securities Regulations [1980] NZSecCom 1 (31 March 1980)

November 1979

• Review of the Law and Practice relating to shareholding by nominees [1979] NZSecCom 3 (14 November 1979)

January 1979

• Background Paper on Financial Advertising Control [1979] NZSecCom 1 (1 January 1979)