(1) In this Act, unless the context otherwise requires,—
Address means,—
(b) In any other case, the address of the person's principal place of business in New Zealand (if any) or, if the person does not have a place of business in New Zealand, the address of the person's principal place of business outside New Zealand:
Business includes any profession, trade, or undertaking, whether or not carried on with the intention of making a pecuniary profit
Buy means purchase, acquire, or subscribe for, or agree to buy, purchase, acquire, or subscribe for
Court means a District Court
Director, in relation to a body corporate or unincorporate, includes any person who has substantial control or influence over the conduct of the affairs of the body
Disclosure means disclosure under either section 3 or section 4 of this Act
Employment includes a relationship in the nature of employment
Investment advice and advice mean—
(b) Without limiting paragraph (a) of this definition, include any such recommendation, opinion, or guidance, that is communicated by letter, newspaper, periodical, broadcasting, sound recording, television, cinematographic film, video, or any form of electronic or other means of communication; but—
Investment adviser and adviser mean a person (whether or not the person is also an investment broker) who, in the course of the person's business or employment, gives investment advice; and,—
Investment broker and broker mean a person (whether or not the person is also an investment adviser) who, in the course of the person's business or employment, receives investment money or investment property; and,—
Investment broker and broker: paragraph (b) of this definition was substituted, as from 3 June 1998, by section 2(1) Investment Advisers (Disclosure) Amendment Act 1998 (1998 No 51).
Investment money and money, in relation to an investment broker, mean any money received from, or on account of, a member of the public in relation to buying or selling securities
Investment money and money: this definition was substituted, as from 3 June 1998, by section 2(2) Investment Advisers (Disclosure) Amendment Act 1998 (1998 No 51).
Investment property and property, in relation to an investment broker, mean security certificates or other valuable property received from, or on account of, a member of the public in relation to buying or selling securities
Investment property and property: this definition was substituted, as from 3 June 1998, by section 2(3) Investment Advisers (Disclosure) Amendment Act 1998 (1998 No 51).
Investor means a member of the public to whom investment advice is given, or on whose behalf investment money or investment property is held by an investment adviser or an investment broker
Person includes an individual, a corporation, an unincorporated body of persons, and an association or combination of individuals or corporate or unincorporated bodies
Receive, in relation to a document, information, or other matter, includes receive by electronic or other means that enables the recipient to readily store the matter in a permanent and legible form
Remuneration means a commission, fee, or other benefit or advantage, whether pecuniary or not, and whether direct or indirect; but does not include a salary or wages of a fixed amount
Security means a security (within the meaning of the Securities Act 1978) that is being, or has previously been, offered to the public for subscription; but does not include—
Sell includes—
(a) Allot, transfer, dispose of, withdraw, or terminate; and
(b) Agree to sell, allot, transfer, dispose of, withdraw, or terminate:
Send, in relation to a document, information, or other matter, includes send by electronic or other means that enables the recipient to readily store the matter in a permanent and legible form
Voting security has the same meaning as in section 2 of the Securities Markets Act 1988
Voting security: this definition was amended, as from 1 December 2002, by section 30 Securities Markets Amendment Act 2002 (2002 No 44) by substituting the word “Markets”
for the word “Amendment”
.
Working day means a day of the week other than—
(a) Saturday, Sunday, Good Friday, Easter Monday, Anzac Day, the Sovereign's Birthday, Labour Day, and Waitangi Day; and
Writing includes—
(b) The display of words by any form of electronic or other means of communication in a manner that enables the words to be readily stored in a permanent form and, with or without the aid of any equipment, to be retrieved and read;—
and written has a corresponding meaning.
Section 2(3)(a): amended, on 1 April 2008, by section ZA 2(1) of the Income Tax Act 2007 (2007 No 97).