New Zealand Legislation: Regulations

7 Documents to be attached to prospectus delivered for registration

• (1) Every prospectus delivered to the Registrar for registration under the Act shall have endorsed thereon or attached thereto or be accompanied by—

  • (a) A copy of any contract particulars of which are required by clause 17 of Schedule 1, or clause 9 of Schedule 2, or clause 15 of Schedule 3 or clause 12 of Schedule 3A, or clause 9 of Schedule 3B, or clause 9 of Schedule 3C, to these regulations to be stated in the registered prospectus, or, in the case of a contract not reduced into writing, a memorandum giving full particulars thereof; and, where any such contract is wholly or partly in a foreign language, a correct translation thereof in English:

    Provided that this paragraph shall not apply in respect of a contract if such a copy or memorandum, and translation, has already been registered by, or filed with, the Registrar; and

  • (b) Where a copy of an auditor's report is required to be contained in the registered prospectus by virtue of clause 42 of Schedule 1, clause 36 of Schedule 2, or clause 38 of Schedule 3 or clause 16 of Schedule 3A, or clause 12 of Schedule 3B, or clause 12 of Schedule 3C to these regulations,—

    • (i) The signed report; and

    • (ii) A statement, dated not earlier than 7 days before the specified date and signed by the auditor (either in his own name or that of his firm), that he consents to the report appearing in the registered prospectus in the form in which it appears; and

  • (c) In the case of a prospectus to which regulation 4 of these regulations applies, copies of the documents required to be given or sent to persons, or attached to the registered prospectus, by virtue of paragraphs (c) and (d) of subclause (1) of that regulation; and

  • (d) In the case of a prospectus to which Schedule 3B applies, specimen copies of life insurance policies to which the prospectus relates; and

  • (e) In the case of a prospectus to which Schedule 3C applies, a copy of the trust deed for the superannuation scheme to which the prospectus relates (incorporating or together with all amendments to the trust deed) except that—

    • (i) The copy of the trust deed need not include any provision of the trust deed that is information about an identifiable security holder or prospective investor; and

    • (ii) This paragraph does not apply in respect of such a prospectus if a copy of the trust deed (incorporating or together with all amendments to the trust deed) has already been registered by, or filed with, the Registrar.

  Subclause (1)(a) was amended, as from 1 October 1997, by regulation 7(1) Securities Amendment Regulations 1997 (SR 1997/151) by inserting the words “or clause 12 of Schedule 3A, or clause 9 of Schedule 3B, or clause 9 of Schedule 3C”.

  Subclause (1)(b) was amended, as from 1 October 1997, by regulation 7(2) Securities Amendment Regulations 1997 (SR 1997/151) by inserting the words “or clause 16 of Schedule 3A, or clause 12 of Schedule 3B, or clause 12 of Schedule 3C”.

  Subclause (1)(d) and (e) were inserted, as from 1 October 1997, by regulation 7(3) Securities Amendment Regulations 1997 (SR 1997/151) by inserting the words “or clause 16 of Schedule 3A, or clause 12 of Schedule 3B, or clause 12 of Schedule 3C”.