On behalf of Hon Bill English, thank you for your email. 

 

Please be assured that all correspondence is read and noted by this
office. Where the Minister has portfolio or MP for Clutha-Southland
responsibilities for the issues raised, a response will be sent to you in
due course. 

 

While the Minister considers all correspondence to be important, if your
email falls outside of his portfolio or electorate responsibilities, or
expresses a personal view, then your opinion will be noted and your
correspondence may be transferred to another office or there may be no
further response to you.

 

Thank you for taking the time to write.

 

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Dear John Telford

On behalf of the Hon Bill English, Minister of Finance, I acknowledge receipt of your letter of 26 September 2014 requesting:

"a list the unlicensed brokers who operated in the Philippines that came to the attention the then NZ Securities Commission and were listed as a warning on the NZ Securities Commission's web site. The period of interest is 2000 to 2005".

Your request was received in this office on 26 September 2014 and will be responded to under the provisions of the Official Information Act.

Yours sincerely

Katy Greco-Ainslie
Private Secretary

-----Original Message-----
From: John Telford [mailto:[OIA #2055 email]]
Sent: Thursday, 25 September 2014 6:49 p.m.
To: B English (MIN)
Subject: Official Information Act request - Minister of Finance

Dear Minister of Finance,

I am seeking a list the unlicensed brokers who operated in the Philippines that came to the attention the then NZ Securities Commission and were listed as a warning on the NZ Securities Commission's web site. The period of interest is 2000 to 2005.

Thank You
Yours faithfully,
John Telford

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Dear John

 

Please find attached.

 

Kind regards,

Jess

 

Jess van Haarlem

Ministerial Secretary

Office of the Hon Bill English

Deputy Prime Minister | Minister of Finance

MP for Clutha-Southland

Level 7.6 | Beehive | Parliament Buildings | Wellington

P: (04) 817 9837   F: (04) 817 6501

E: [1][email address]

 

 

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Dear Mr Telford,

 

Thank you for your request made under the Official Information Act to the
Minister of Finance. You requested:

 

"a list [of] the unlicensed brokers who operated in the Philippines that
came to the attention the then NZ Securities Commission and were listed as
a warning on the NZ Securities Commission's web site. The period of
interest is 2000 to 2005".

 

As you are aware, your request was transferred to the Minister of Commerce
and Consumer Affairs. We have considered your request and have determined
that we do not hold information relating to your request. We believe that
such information is held by the Financial Markets Authority. In accordance
with section 14 of the Official Information Act 1982, I have therefore
transferred your request to the Financial Markets Authority for
consideration.

 

If you disagree with this decision, you are entitled under Section 28 of
the Act to make an appeal to the Ombudsman.

 

Yours sincerely

 

Sam Thornton | Private Secretary - Commerce and Consumer Affairs | Office
of Hon Paul Goldsmith | Parliament Buildings, Wellington |

 

 

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Dear Mr Telford,

 

We understand you submitted a request for information under the Official
Information Act to the Minister of Finance which was subsequently referred
to the Minister of Commerce, and in turn has been referred to the
Financial Markets Authority.

 

We have been advised that you seek the following information:

“a list [of] the unlicensed brokers who operated in the Philippines that
came to the attention of the then NZ Securities Commission and were listed
as a warning on the NZ Securities Commission's web site. The period of
interest is 2000 to 2005.”

 

In response to your request we have reviewed the Securities Commission's
website and have found the webpages which are attached for your review.
You will see that the pages include a list of broker firms who, according
to the Securities Commission’s website, had targeted people in New Zealand
without holding a New Zealand broker’s licence or futures dealer
authorisation. If you scroll down each of the lists then you will see that
a number of the firms have a Philippines address.

 

I hope that this information assists you, but please let me know if you
were after something else.

 

Kind regards

 

Ginny Coubrough

 

 

 

 

Ginny Coubrough   Senior Solicitor

T +64 9 300 0445      
E [email address]
Level 5, Ernst & Young Building
2 Takutai Square, Britomart, Auckland, 1010
PO Box 106 672, Auckland Follow us on Twitter: [2]www.fma.govt.nz
1143​, New Zealand [1]@fmamedia [3][IMG]

 

 

 

 

 

 

 

 

 

 

 

 

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