resource

Company and Securities Law Compendium

12 May 2020

​Chapman Tripp has provided relevant links to the core company/securities law on the New Zealand legislation website.

Financial Markets Conduct Act 2013

Financial Markets Conduct Regulations 2014

Financial Markets Conduct (Fees) Regulations 2014

Upcoming changes​

Financial Services Legislation Amendment Act 2019​​

Code of Professional Conduct for Financial Advice Services

Financial Markets (Conduct of Institutions) Amendment Bill

Selected designations and class exemptions with ongoing application

​Financial Markets Conduct (Communal Facilities in Real Property Developments) Designation Notice 2016

Financial Markets Conduct (Communal Facilities in Real Property Developments) Exemption Notice 2016

Financial Markets Conduct (Designation of Restricted Schemes) Order 2016

​Financial Markets Conduct (Disclosure of Relevant Interests by Directors and Senior Managers) Exemption Notice 2019

Financial Markets Conduct (Disclosure Using Overseas GAAP) Exemption Notice 2016

Financial Markets Conduct (Employee Share Purchase Schemes) Exemption Notice 2016

Financial Markets Conduct (Financial Reporting and Other Relief—COVID-19) Exemption Notice 2020

Financial Markets Conduct (Financial Reporting—DIMS Licensees) Exemption Notice 2015

Financial Markets Conduct (Financial Reporting—DIMS Licensees) Exemption Notice 2020

Financial Markets Conduct (Financial Statements for Schemes Consisting Only of Separate Funds) Exemption Notice 2017

Financial Markets Conduct (FMC Reporting Entities with Higher Level of Public Accountability) Notice 2014

Financial Markets Conduct (Forestry Schemes) Exemption Notice 2016

Financial Markets Conduct (Forward Foreign Exchange Contracts) Designation Notice 2017

Financial Markets Conduct (Incidental Offers) Exemption Notice 2016

Financial Markets Conduct (Irrigation Companies) Exemption Notice 2018

Financial Markets Conduct (Licensed Independent Trustees of Restricted Schemes) Exemption Notice 2016

Financial Markets Conduct (Market Index) Exemption Notice 2018

Financial Markets Conduct (Offers of Financial Products Through Authorised Financial Advisers Supplying Personalised DIMS) Exemption Notice 2015

Financial Markets Conduct (Overseas Banks Offering Simple Debt Products) Exemption Notice 2016

Financial Markets Conduct (Overseas Custodians—Assurance Engagement) Exemption Notice 2018

Financial Markets Conduct (Overseas FMC Reporting Entities) Exemption Notice 2016

Financial Markets Conduct (Overseas Registered Banks and Licensed Insurers) Exemption Notice 2016

Financial Markets Conduct (Overseas Registered Banks and Licensed Insurers) Exemption Notice 2020

Financial Markets Conduct (Overseas Subsidiary Balance Date Alignment) Exemption Notice 2016

Financial Markets Conduct (Property Schemes—Custody of Assets) Exemption Notice 2016

Financial Markets Conduct (Product Disclosure Statements in Te Reo Māori and English) Exemption Notice 2018

Financial Markets Conduct (Recognised Exchanges) Exemption Notice 2016

Financial Markets Conduct (Same Class Offers ASX/NZX-Quoted Financial Products) Exemption Notice 2018

Financial Markets Conduct (Shares in Investment Companies) Designation Notice 2017

Financial Markets Conduct (Small Co-operatives) Exemption Notice 2016

Financial Markets Conduct (US Futures Commission Merchants) Exemption Notice 2015

Financial Markets Conduct (Wholesale Investor Exclusion—$750,000 Minimum Investment) Exemption Notice 2017

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