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Company and Securities Law Compendium

12 May 2020
Speak to our experts
Roger Wallis
Partner
Geof Shirtcliffe
Partner
Geof Shirtcliffe

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

​​Companies Act 1993​

Companies Act 1993 Regulations 1994

​COVID-19 Response (Requirements For Entities—Modifications and Exemptions) Act 2020

​Financial Reporting Act 2013​

Financial Reporting Regulations 2015​

Financial Reporting (Levies) Regulations 2014​

Tax Administration (Financial Statements) Order 2014​

Auditor Regulation Act 2011​

Auditor Regulations 2012

​Personal Property Securities Act 1999​

Personal Property Securities Regulations 2001​

Property Law Act 2007

​Co-operative Companies Act 1996​

Co-operative Companies (Forms) Regulations 1996

​Receiverships Act 1993​

Companies Act 1993 Liquidation Regulations 1994​

Companies (Maximum Priority Amount) Order 2015​

Companies (Voluntary Administration) Regulations 2007

​Insolvency (Cross-border) Act 2006​

Insolvency Practitioners Regulation Act 2019

​Commerce Act 1986

​Commerce Act (Fees) Regulations 1990

​Overseas Investment Act 2005​

Overseas Investment Regulations 2005​

​Partnership Law Act 2019​

Limited Partnerships Act 2008

​Limited Partnerships Regulations 2008​

Trusts Act 2019

​Takeovers Act 1993

​Takeovers Code

​Takeovers Regulations 2000

​Takeovers Code (Class Exemptions) Notice (No 2) 2001​

Takeovers Code (Charitable Trusts) Exemption Notice 2019

​Takeovers Code (Facilitation of Capital Raising in Response to COVID-19) Exemption Notice 2020

​Takeovers Code (Professional Underwriters) Exemption Notice 2004​

Takeovers Code (Trustee Corporations) Exemption Notice 2001​

Takeovers Code (Trustees of Family Trusts) Exemption Notice 2012

​Takeovers Code (Unmarketable Parcels) Exemption Notice 2003

​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

​Financial Advisers Act 2008​

Secret Commissions Act 1910

​Financial Advisers Code of Professional Conduct for Authorised Financial Advisers 2016

Financial Advisers (Definitions, Voluntary Authorisation, Prescribed Entities, and Exemptions) Regulations 2011​

Financial Advisers (Disclosure) Regulations 2010​

Financial Advisers (Fees) Regulations 2010​

Financial Advisers (Custodians of FMCA Financial Products) Regulations 2014​

Financial Advisers (Personalised DIMS) Regulations 2014​

Financial Advisers (Australian Licensees) Exemption Notice 2011

Financial Advisers (Australian Qualified Advisers) Exemption Notice 2018​

Financial Advisers (Non-NZX Brokers—Client Money) Exemption Notice 2017​

Financial Advisers (NZX Brokers—Client Money and Client Property) Exemption Notice 2015​

Financial Advisers (Overseas Custodians—Assurance Engagement) Exemption Notice 2018​

Financial Advisers (Personalised Digital Advice) Exemption Notice 2018​

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

Financial Advisers (Custodian Assurance Engagement Relief—COVID-19) Exemption Notice 2020

​Financial Service Providers (Registration and Dispute Resolution) Act 2008

​Financial Services Legislation Amendment Act 2019​

Financial Service Providers (Registration) Regulations 2010​

Financial Service Providers (Exemptions) Regulations 2010​

Financial Service Providers (Fees) Regulations 2010

​Anti-Money Laundering and Countering Financing of Terrorism Act 2009​

Anti-Money Laundering and Countering Financing of Terrorism (Definitions) Regulations 2011​

Anti-Money Laundering and Countering Financing of Terrorism (Exemptions) Regulations 2011​

Anti-Money Laundering and Countering Financing of Terrorism (Cross-Border Transportation of Cash) Regulations 2010​

Anti-Money Laundering and Countering Financing of Terrorism (Requirements and Compliance) Regulations 2011​

Anti-Money Laundering and Countering Financing of Terrorism (Class Exemptions) Notice 2018​

Anti-Money Laundering and Countering Financing of Terrorism (Cross-border Transportation of Cash) Regulations 2010

​Anti-Money Laundering and Countering Financing of Terrorism (Prescribed Transactions Reporting) Regulations 2016

​Financial Markets Authority Act 2011

​Financial Markets Authority (Fees) Regulations 2011​

Financial Markets Authority (Levies) Regulations 2012

​Financial Markets Supervisors Act 2011

​Financial Markets Supervisors Regulations 2014

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Geof Shirtcliffe
Partner

Corporate & commercial
Roger

Roger Wallis
Partner

Corporate & commercial

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