Companies Act 1993 ss374 clauses 1 and 2

Karen Martyn made this Official Information request to Ministry of Business, Innovation & Employment

The request was refused by Ministry of Business, Innovation & Employment.

From: Karen Martyn

Dear Ministry of Business, Innovation & Employment,

Please provide the penalties imposed on directors according to s374 specifying the number of cases and exact section/clause of the act where director(s) have successfully been prosecuted for breaching the sections listed under s374 clauses 1 and 2.

Yours faithfully,

Karen Martyn

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From: *OIA
Ministry of Business, Innovation & Employment


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Ref: DOIA 1617-1060

 

Dear Ms Martyn

 

On behalf of the Ministry of Business, Innovation and Employment I
acknowledge your email of 5 April 2017  requesting under the Official
Information Act 1982 (the Act), the following:

 

Please provide the penalties imposed on directors according to s374
specifying the number of cases and exact section/clause of the act where
director(s) have successfully been prosecuted for breaching the sections
listed under s374 clauses 1 and 2.

 

Your request is being processed in accordance with the Act and a response
will be sent to you in due course. If you have any enquiries regarding
your request feel free to contact us via email [1][MBIE request email] or
using the contact details below.

 

 

Yours sincerely,

Alan Witcombe

MANAGER, MINISTERIAL SERVICES

 

Corporate, Governance and Information

Ministry of Business, Innovation and Employment

Level 4, 15 Stout Street, PO Box 1473, Wellington 6140

[2]cid:image004.jpg@01D10666.447C6950

 

 

[3]www.govt.nz - your guide to finding and using New Zealand government
services

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1. mailto:[MBIE request email]
3. http://www.govt.nz/

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From: Registries Integrity and Enforcement Team


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Dear Karen

 

I refer to your request of 8 March 2017 under the Official Information Act
1982 (the Act) to the Ministry of Business, Innovation and Employment (the
Ministry) where you asked for “the penalties imposed on directors
according to s374 specifying the number of cases and exact section/clause
of the act where director(s) have successfully been prosecuted for
breaching the sections listed under s374 clauses 1 and 2.”

 

Your request does not specify a timeframe and in order for the Ministry to
consider your request, please advise the period you are wanting the
request to cover.  For example, you may want this information for 2016 or
a longer period. 

 

In order for the Ministry to be able to respond to your request in a
timely manner consistent with our obligations under the Act, we ask that
you come back to us by close of business on 17 March 2017 to indicate if
you are prepared to refine your request along these lines. Depending on
your response, we may consider extending the timeframe or refusing the
request under the relevant section of the Act.

 

We note that, under section 15(1AA) of the Act, the revised request may be
treated as a new request for the purpose of calculating the time period
for response under the Act.

 

Your faithfully

 

 

Registries Integrity and Enforcement Team

 

Business Integrity Services, Market Services Group

 

[1][email address] | Telephone: 0508 4 INTEGRITY |

Level 18, 135 Albert St, Auckland 1010 |  PO Box 5004, Wellesley St,
Auckland 1141 |

[2]MBIE logo[3]NZGOVT logo

[4]Facebook[5]Twitter[6]YouTube[7]LinkedIn[8]GooglePlay[9]App store

 

 

 

 

 

 

[10]www.govt.nz - your guide to finding and using New Zealand government
services

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2. http://www.mbie.govt.nz/
3. https://www.govt.nz/
4. https://www.facebook.com/CompaniesOffice
5. https://twitter.com/CompaniesOffice
6. https://www.youtube.com/user/CompaniesOf...
7. https://www.linkedin.com/company/new-zea...
8. https://play.google.com/store/apps/detai...
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10. http://www.govt.nz/

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From: Registries Integrity and Enforcement Team


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DOIA 1617-1060

 

Dear Karen Martyn

 

I refer to your request under the Official Information Act 1982 on 8 March
2017 for “the penalties imposed on directors according to s374 specifying
the number of cases and exact section/clause of the act where director(s)
have successfully been prosecuted for breaching the sections listed under
s374 clauses 1 and 2.”  The Ministry consulted with you in relation to the
scope of your request and you subsequently advised that the time period
relating to your request was from the date the Companies Act 1993 came
into force up to March 2017.

 

The Companies Office only holds information on those successful
prosecutions which the Registrar of Companies has commenced in relation to
breaches of the Companies Act 1993.  The NZ Police may have also brought
prosecutions under the Companies Act which the Companies Office does not
hold information on.  In addition, the Companies Office does not hold
information on any civil prosecutions brought against a company and/or its
director(s).    

 

Information relating to successful prosecutions by the Registrar of
Companies for breaches of those sections referred to in section 374
(clauses 1 and 2) are available on the Companies Office website.  Below
are links to the details of those convicted and the penalties imposed for
each of the years from 2010 to 2016.

 

2010 -
[1]https://www.companiesoffice.govt.nz/comp...
 

 

2011 -
[2]https://www.companiesoffice.govt.nz/comp...

 

2012 -
[3]https://www.companiesoffice.govt.nz/comp...

 

2013 -
[4]https://www.companiesoffice.govt.nz/comp...

 

2014 -
[5]https://www.companiesoffice.govt.nz/comp...

 

2015 -
[6]https://www.companiesoffice.govt.nz/comp...

 

2016 -
[7]https://www.companiesoffice.govt.nz/comp...

 

 

Your request for information dating back to prior to 2010 is refused under
section 18(f) of the Official Information Act 1982 as the information
requested cannot be made available without substantial collation or
research.  To provide you with copies of the information would require
significant Ministry resources and, therefore, the greater public interest
in the effective and efficient administration of the public service would
not be served.  I have considered whether the Ministry would be able to
respond to your request given extra time or the ability to charge for the
information requested.  I have concluded that, in both cases, the
Ministry’s ability to undertake its work would still be prejudiced.  I
have also considered whether consulting further with you would assist you
to make the request in a form that would remove the reasons for the
refusal, and I have formed the view that it would not.

 

You have the right to seek an investigation and review of my response by
the Ombudsman, whose address for contact purposes is:

 

The Ombudsman

Office of the Ombudsman

PO Box 10-152

WELLINGTON 6143

 

If you wish to discuss any aspect of your request or this response, please
reply to this email.

 

Kind regards

 

Registries Integrity and Enforcement Team

 

Business Integrity Services, Market Services Group

 

[8][email address] | Telephone: 0508 446 834

Level 18, 135 Albert Street, Auckland | PO Box 5004, Wellesley Street,
Auckland 1141

[9]www.companiesoffice.govt.nz

 

 

[10]MBIE logo[11]NZGOVT logo

[12]Facebook[13]Twitter[14]YouTube[15]LinkedIn[16]GooglePlay[17]App store

 

[18]www.govt.nz - your guide to finding and using New Zealand government
services

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References

Visible links
1. https://www.companiesoffice.govt.nz/comp...
2. https://www.companiesoffice.govt.nz/comp...
3. https://www.companiesoffice.govt.nz/comp...
4. https://www.companiesoffice.govt.nz/comp...
5. https://www.companiesoffice.govt.nz/comp...
6. https://www.companiesoffice.govt.nz/comp...
7. https://www.companiesoffice.govt.nz/comp...
8. mailto:[email address]
9. http://www.companiesoffice.govt.nz/
10. http://www.mbie.govt.nz/
11. https://www.govt.nz/
12. https://www.facebook.com/CompaniesOffice
13. https://twitter.com/CompaniesOffice
14. https://www.youtube.com/user/CompaniesOf...
15. https://www.linkedin.com/company/new-zea...
16. https://play.google.com/store/apps/detai...
17. https://itunes.apple.com/nz/app/nzauconn...
18. http://www.govt.nz/

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From: Karen Martyn

Dear Registries Integrity and Enforcement Team,
Thank you for a reply.
The links you provided seem to be for all types of breaches of the Act.
I specifically asked for cases, breaches, and penalties for s374 subsections/clauses 1 and 2. Only that section 374 and only subsections 1 and 2.

Please provide the specific information requested not 'all cases' in each year.

Yours sincerely,

Karen Martyn

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From: Registries Integrity and Enforcement Team

Dear Ms Martyn,

Thank you for your email. As the information you have requested is publically available in the links provided our previous email, your request is refused under section 18(d) of the Official Information Act 1982.

We suggest that you review the conviction information on the Companies Office website for each year to identify those prosecutions which relate to section 374(1) and (2) of the Companies Act 1993.

You have the right to make a complaint to the Ombudsman about our refusal of your request, as you have already been advised.

Kind regards

Registries Integrity and Enforcement Team

Business Integrity Services, Market Services Group

[email address] | Telephone: 0508 446 834
Level 18, 135 Albert Street, Auckland | PO Box 5004, Wellesley Street, Auckland 1141
www.companiesoffice.govt.nz

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Karen Martyn left an annotation ()

Refused

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Karen Martyn left an annotation ()

Links on the Response are broken so 'information available' is not available.

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Luke left an annotation ()

Karen

Links to the former website are archived at:

https://web.archive.org/web/201704120254...

http://ndhadeliver.natlib.govt.nz/ArcAgg...

The current convictions on the website are at:

https://companies-register.companiesoffi...

The number of convictions on the old and new sites for each year, don't appear to be the same, at first glance.

In my view the information has been provided, admittedly not in the form that you wanted. The number of convictions is not too great that it would be insurmountable for you to check each conviction to determine which ones relate to prosecuting those against s374 clauses 1 and 2.

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Things to do with this request

Anyone:
Ministry of Business, Innovation & Employment only: