Serious Fraud Office (Prescribed Forms) Regulations 1990

Reprint
as at 1 July 2013

Coat of Arms of New Zealand

Serious Fraud Office (Prescribed Forms) Regulations 1990

(SR 1990/163)

Paul Reeves, Governor-General

Order in Council

At Wellington this 9th day of July 1990

Present:
His Excellency the Governor-General in Council


Note

Changes authorised by section 17C of the Acts and Regulations Publication Act 1989 have been made in this reprint.

A general outline of these changes is set out in the notes at the end of this reprint, together with other explanatory material about this reprint.

These regulations are administered by the Ministry of Justice.


Pursuant to section 53 of the Serious Fraud Office Act 1990, His Excellency the Governor-General, acting by and with the advice and consent of the Executive Council, hereby makes the following regulations.

Regulations

1 Title and commencement
  • (1) These regulations may be cited as the Serious Fraud Office (Prescribed Forms) Regulations 1990.

    (2) These regulations shall come into force on the day after the date of their notification in the Gazette.

2 Interpretation
  • (1) In these regulations, unless the context otherwise requires,—

    Expressions defined in the Act have the same meaning in these regulations.

    (2) In these regulations, a reference to a numbered form is a reference to the form so numbered in the Schedule.

3 Notice to require production of documents
4 Search warrant under Part 1
5 Notice to require attendance before Director, production of documents, etc
6 Search warrant under Part 2

Schedule
Forms

Form 1
Notice to require production of documents

r 3

(Given pursuant to section 5 of the Serious Fraud Office Act 1990)

Enquiry into the affairs of [specify the person whose affairs are being enquired into]

(or enquiry relating to [specify suspected offence])

To [full name, address]

Take notice that you are required, at [time] on [day, date] (or forthwith) at [place],—

  • *(a) to produce for inspection the following documents [specify documents], which the Director has reason to believe may be relevant to a suspected case of serious or complex fraud:

  • *(b) to answer, to the best of your knowledge and belief, questions with respect to the whereabouts or existence of any further documents that may be relevant to the investigation.

If paragraph (b) applies, you may, if you wish, be accompanied by a barrister or a solicitor.

Dated at: [place, date]

[Signature]

Director/Designated member*

Serious Fraud Office

*Delete if inapplicable.

Information

Search warrants

The Director may apply for a search warrant in accordance with section 6 of the Act if—

  • (a) there are reasonable grounds for believing—

    • (i) that you have failed to produce all of the documents specified in this notice; or

    • (ii) that you have failed to answer any question asked pursuant to this notice or that any answer given to any such question is false or misleading in a material particular or is incomplete; and

  • (b) there are reasonable grounds for believing that there may be, at the place specified in the application for the warrant, any documents or other thing that may be relevant to an investigation or may be evidence of any offence involving serious or complex fraud.

Offences
Offence to obstruct investigation, etc

You will commit an offence, and be liable on conviction,—

  • (a) if you are an individual, to imprisonment for a term not exceeding 12 months or to a fine not exceeding $15,000:

  • (b) if you are a corporation, to a fine not exceeding $40,000,—

if you, in the course of complying with any requirement imposed pursuant to this notice, give an answer to any question or produce any document knowing that it is false or misleading in a material particular or being reckless as to whether it is so false or misleading.

Offence to destroy, alter, or conceal records, etc

You will commit an offence, and be liable on conviction to imprisonment for a term not exceeding 2 years or to a fine not exceeding $50,000 if you, with intent to defeat any investigation being carried out or likely to be carried out by the Serious Fraud Office, or with intent to prevent the Serious Fraud Office exercising any power under the Act,—

  • (a) destroy, alter, or conceal any book, document, or record; or

  • (b) send any book, document, or record out of New Zealand.

  • Schedule form 1: amended, on 1 July 2013, by section 413 of the Criminal Procedure Act 2011 (2011 No 81).

Form 2
Search warrant

r 4

(Issued pursuant to section 6 of the Serious Fraud Office Act 1990)

Enquiry into the affairs of [specify the person whose affairs are being enquired into]

(or enquiry relating to [specify suspected offence])

To [name of constable] or every constable or [name of designated member of Serious Fraud Office] or every designated member of the Serious Fraud Office.

  • 1 This warrant is issued following an application in writing made on oath by [name of applicant] in respect of [place].

  • 2 I, [name of Judge], am satisfied—

    • (a) that there are reasonable grounds for believing—

      • *(i) that [name] has failed to produce all of the documents specified in the notice given on [day, date] pursuant to section 5(1) of the Act; or

      • *(ii) that [name] has failed to answer a question asked pursuant to section 5(1) of the Act or has given an answer to any such question that is false or misleading in a material particular or is incomplete; or

      • *(iii) that it is not practicable to serve a notice under section 5 of the Act by reason of the fact that [name] cannot be located or is absent from New Zealand or other good cause; and

    • (b) that there are reasonable grounds for believing that there may be, at [place], any documents or other thing that may be relevant to an investigation or may be evidence of any offence involving serious or complex fraud.

  • 3 This warrant authorises you—

    • (a) to enter and search [place] on one occasion within 14 days of the date of issue of this warrant at any time which is reasonable in the circumstances:

    • (b) to use such assistance as is reasonable in the circumstances:

    • (c) to use such force both for gaining entry and for breaking open anything in or on the place searched as is reasonable in the circumstances:

    • (d) to search for and remove any documents or other thing that you believe on reasonable grounds may be relevant to the investigation or may be evidence of any offence involving serious or complex fraud:

    • (e) where necessary, to take copies of any documents, or extracts from documents, that you believe on reasonable grounds may be relevant to the investigation:

    • (f) where necessary, to require any person to reproduce, or to assist you to reproduce, in usable form, any information recorded or stored in any such documents.

  • 4 This warrant is subject to the following conditions: [specify any conditions imposed].

Dated at: [place, date]

[Signature]

Judge

*Delete if inapplicable.

Form 3
Notice to require attendance before director, production of documents, etc

r 5

(Given pursuant to section 9 of the Serious Fraud Office Act 1990)

Investigation into the affairs of [specify the person whose affairs are being investigated]

(or investigation relating to [specify suspected offence])

To [full name, address]

Take notice that you are required, at [time] on [day, date] (or forthwith) at [place],—

  • *(a) to attend before the Director:

  • *(b) to answer questions with respect to any matter that the Director has reason to believe may be relevant to the investigation:

  • *(c) to supply the following information [specify information], which the Director has reason to believe may be relevant to the investigation:

  • *(d) to produce for inspection the following documents [specify documents], which the Director has reason to believe may be relevant to the investigation:

You may, if you wish, be accompanied by a barrister or solicitor.

Dated at: [place, date]

[Signature]

Director/Designated member*

Serious Fraud Office

*Delete if inapplicable.

Information

Search warrants

The Director may apply for a search warrant in accordance with section 10 of the Act if—

  • (a) there are reasonable grounds for believing—

    • (i) that any information supplied pursuant to section 9 of the Act is false or misleading in a material particular; or

    • (ii) that you have failed to comply with any obligation imposed pursuant to that section; and

  • (b) there are reasonable grounds for believing that there may be, at the place specified in the application for the warrant, any documents or other thing that may be relevant to an investigation or may be evidence of any offence involving serious or complex fraud.

Offences
Offence to obstruct investigation, etc

You will commit an offence, and be liable on conviction,—

  • (a) if you are an individual, to imprisonment for a term not exceeding 12 months or to a fine not exceeding $15,000:

  • (b) if you are a corporation, to a fine not exceeding $40,000,—

if you,—

  • (c) without lawful justification or excuse, resist, obstruct, or delay any member of the Serious Fraud Office in the exercise of any power conferred by section 9 of the Act; or

  • (d) without lawful justification or excuse, refuse or fail to—

    • (i) attend before the Director; or

    • (ii) answer any question; or

    • (iii) supply any information; or

    • (iv) produce any document; or

    • (v) provide any explanation; or

    • (vi) comply with any other requirement,—

  • as required pursuant to the exercise of any power conferred by section 9 of the Act; or

  • (e) in the course of complying with any requirement imposed pursuant to section 9 of the Act, give an answer to any question, or supply any information, or produce any document, or provide any explanation, knowing that it is false or misleading in a material particular or being reckless as to whether it is so false or misleading.

Offence to destroy, alter, or conceal records, etc

You will commit an offence, and be liable on conviction to imprisonment for a term not exceeding 2 years or to a fine not exceeding $50,000 if you, with intent to defeat any investigation being carried out or likely to be carried out by the Serious Fraud Office, or with intent to prevent the Serious Fraud Office exercising any power under the Act,—

  • (a) destroy, alter, or conceal any book, document, or record; or

  • (b) send any book, document, or record out of New Zealand.

  • Schedule form 3: amended, on 1 July 2013, by section 413 of the Criminal Procedure Act 2011 (2011 No 81).

Form
Search warrant

r 6

(Issued pursuant to section 10 of the Serious Fraud Office Act 1990)

Investigation into the affairs of [specify the person whose affairs are being investigated]

(or investigation relating to [specify suspected offence])

To [name of constable] or every constable or [name of designated member of Serious Fraud Office] or every designated member of the Serious Fraud Office.

  • 1 This warrant is issued following an application in writing made on oath by [name of applicant] in respect of [place].

  • 2 I, [name of Judge], am satisfied—

    • (a) that there are reasonable grounds for believing—

      • *(i) that information supplied pursuant to section 9 of the Act is false or misleading in a material particular; or

      • *(ii) that [name] has failed to comply with an obligation imposed pursuant to section 9 of the Act; or

      • *(iii) that it is not practicable to serve a notice under section 9 of the Act by reason of the fact that [name] cannot be located or is absent from New Zealand or other good cause; or

      • *(iv) that the service of a notice under section 9 of the Act might seriously prejudice the investigation; and

    • (b) that there are reasonable grounds for believing that there may be, at [place], any documents or other thing that may be relevant to an investigation or may be evidence of any offence involving serious or complex fraud.

  • 3 This warrant authorises you—

    • (a) to enter and search [place] on one occasion within 14 days of the date of issue of this warrant at any time which is reasonable in the circumstances:

    • (b) to use such assistance as is reasonable in the circumstances:

    • (c) to use such force both for gaining entry and for breaking open anything in or on the place searched as is reasonable in the circumstances:

    • (d) to search for and remove any documents or other thing that you believe on reasonable grounds may be relevant to the investigation or may be evidence of any offence involving serious or complex fraud:

    • (e) where necessary, to take copies of any documents, or extracts from documents, that you believe on reasonable grounds may be relevant to the investigation:

    • (f) where necessary, to require any person to reproduce, or to assist you to reproduce, in usable form, any information recorded or stored in any such documents.

  • 4 This warrant is subject to the following conditions [specify any conditions imposed].

Dated at: [place, date]

[Signature]

Judge

*Delete if inapplicable.

Marie Shroff,
Clerk of the Executive Council.


Issued under the authority of the Acts and Regulations Publication Act 1989.

Date of notification in Gazette: 12 July 1990.


Contents

  • 1General

  • 2Status of reprints

  • 3How reprints are prepared

  • 4Changes made under section 17C of the Acts and Regulations Publication Act 1989

  • 5List of amendments incorporated in this reprint (most recent first)


Notes
1 General
  • This is a reprint of the Serious Fraud Office (Prescribed Forms) Regulations 1990. The reprint incorporates all the amendments to the regulations as at 1 July 2013, as specified in the list of amendments at the end of these notes.

    Relevant provisions of any amending enactments that contain transitional, savings, or application provisions that cannot be compiled in the reprint are also included, after the principal enactment, in chronological order. For more information, see http://www.pco.parliament.govt.nz/reprints/ .

2 Status of reprints
  • Under section 16D of the Acts and Regulations Publication Act 1989, reprints are presumed to correctly state, as at the date of the reprint, the law enacted by the principal enactment and by the amendments to that enactment. This presumption applies even though editorial changes authorised by section 17C of the Acts and Regulations Publication Act 1989 have been made in the reprint.

    This presumption may be rebutted by producing the official volumes of statutes or statutory regulations in which the principal enactment and its amendments are contained.

3 How reprints are prepared
  • A number of editorial conventions are followed in the preparation of reprints. For example, the enacting words are not included in Acts, and provisions that are repealed or revoked are omitted. For a detailed list of the editorial conventions, see http://www.pco.parliament.govt.nz/editorial-conventions/ or Part 8 of the Tables of New Zealand Acts and Ordinances and Statutory Regulations and Deemed Regulations in Force.

4 Changes made under section 17C of the Acts and Regulations Publication Act 1989
  • Section 17C of the Acts and Regulations Publication Act 1989 authorises the making of editorial changes in a reprint as set out in sections 17D and 17E of that Act so that, to the extent permitted, the format and style of the reprinted enactment is consistent with current legislative drafting practice. Changes that would alter the effect of the legislation are not permitted.

    A new format of legislation was introduced on 1 January 2000. Changes to legislative drafting style have also been made since 1997, and are ongoing. To the extent permitted by section 17C of the Acts and Regulations Publication Act 1989, all legislation reprinted after 1 January 2000 is in the new format for legislation and reflects current drafting practice at the time of the reprint.

    In outline, the editorial changes made in reprints under the authority of section 17C of the Acts and Regulations Publication Act 1989 are set out below, and they have been applied, where relevant, in the preparation of this reprint:

    • omission of unnecessary referential words (such as of this section and of this Act)

    • typeface and type size (Times Roman, generally in 11.5 point)

    • layout of provisions, including:

      • indentation

      • position of section headings (eg, the number and heading now appear above the section)

    • format of definitions (eg, the defined term now appears in bold type, without quotation marks)

    • format of dates (eg, a date formerly expressed as the 1st day of January 1999 is now expressed as 1 January 1999)

    • position of the date of assent (it now appears on the front page of each Act)

    • punctuation (eg, colons are not used after definitions)

    • Parts numbered with roman numerals are replaced with arabic numerals, and all cross-references are changed accordingly

    • case and appearance of letters and words, including:

      • format of headings (eg, headings where each word formerly appeared with an initial capital letter followed by small capital letters are amended so that the heading appears in bold, with only the first word (and any proper nouns) appearing with an initial capital letter)

      • small capital letters in section and subsection references are now capital letters

    • schedules are renumbered (eg, Schedule 1 replaces First Schedule), and all cross-references are changed accordingly

    • running heads (the information that appears at the top of each page)

    • format of two-column schedules of consequential amendments, and schedules of repeals (eg, they are rearranged into alphabetical order, rather than chronological).

5 List of amendments incorporated in this reprint (most recent first)