Our enforcement approach

Making it easy to comply

Most of our customers fulfil their obligations and our goal is to make it easy to do so.

We offer a range of assistance to make it easy to comply and inform our customers about their obligations. Our services include:

• website information, including tools and resources to complete obligations online
• a free telephone line for enquiries
• periodic seminars about corporate regulatory issues, including changes to the law
• reminders when our customers need to meet their filing obligations.

Contact us

Our complaints process

Our complaints process is designed to encourage members of the public, creditors, insolvency practitioners and other agencies to make a complaint or to provide information on potential criminal activity.

We won’t investigate every complaint received, but we will make further investigations if:

• the evidence is strong
• it’s in the public interest to do so
• it’s the best use of our resources.

Make a complaint

Working with other government agencies

We share information with other agencies — within the limits of the law.

From time to time we also work on initiatives with other agencies, such as the Police and the Financial Markets Authority, to take action on unlawful activity.

Information sharing with Inland Revenue

Inland Revenue now shares information with the Companies Office where:

• there is reasonable suspicion that a serious offence has been, is, or will be committed
• it will prevent, detect, or provide evidence of, a serious offence
• the information is readily available and in the public's interest to share.

Inland Revenue will share information with the Companies Office (within the limits of the law) about some serious offences including:

• a serious breach of a director’s duty to act in good faith and in the best interests of company
• providing a false statement or knowingly withholding information
• breaching a court or prohibition order not to direct, promote or manage a company
• breaching a restriction on involvement with a phoenix company — a company rising from the ashes of a failed one.

The agreement improves the Companies Office's ability to take enforcement action against businesses and directors who breach their corporate responsibilities.

Taking enforcement action

We take enforcement action when it’s in the public interest because of the seriousness of the matter.

Enforcement action can include:

• a formal warning
• issuing an infringement notice
• suspending or cancelling the registration of a company or an individual
• prohibiting a director from managing companies
• prosecution.

Conviction results

We publicise the outcomes of prosecution cases, unless there are legal or other reasons not to.