Securities Markets (Substantial Security Holders) Regulations 2007

  • revoked
  • Securities Markets (Substantial Security Holders) Regulations 2007: revoked, on 1 December 2014, by section 5(k) of the Financial Markets (Repeals and Amendments) Act 2013 (2013 No 70).

Reprint as at 1 December 2014

Securities Markets (Substantial Security Holders) Regulations 2007

(SR 2007/372)

Anand Satyanand, Governor-General

Order in Council

At Wellington this 3rd day of December 2007

Present:
His Excellency the Governor-General in Council

  • Securities Markets (Substantial Security Holders) Regulations 2007: revoked, on 1 December 2014, by section 5(k) of the Financial Markets (Repeals and Amendments) Act 2013 (2013 No 70).


Note

Changes authorised by subpart 2 of Part 2 of the Legislation Act 2012 have been made in this official reprint.

Note 4 at the end of this reprint provides a list of the amendments incorporated.

These regulations are administered by the Ministry of Business, Innovation, and Employment.


Pursuant to sections 49 and 49A of the Securities Markets Act 1988, His Excellency the Governor-General, acting on the advice and with the consent of the Executive Council and on the recommendation of the Minister of Commerce (made after consulting the Securities Commission), makes the following regulations.

Contents

1 Title

2 Commencement

3 Interpretation

Form and delivery method for event disclosures

4 How to make event disclosures to registered exchange

5 How to make event disclosures to public issuer

6 When event disclosures sent electronically or by fax may be assumed to be made

When event disclosures may be combined

7 How to disclose more than 1 type of event disclosure

8 How to disclose more than 1 substantial holding

9 How to disclose for more than 1 connected holder with similar or related substantial holding

What disclosure required for event disclosures

10 What information must be disclosed in event disclosures

11 When relevant agreement documents must be attached to event disclosures

12 Previously attached relevant agreement documents need not be attached again

13 Relevant agreement documents need not be attached for ownership relevant interests

14 Relevant agreement documents need not be attached if investment management contracts

Acknowledgements of event disclosure

15 How public issuer must give acknowledgement of event disclosure

Exemption from event disclosure obligations

16 Exemption for substantial holdings in issuers with listing on exchange in overseas jurisdiction set out in Schedule 2

Setting of registered exchange's form and delivery method for event disclosure

17 Setting of registered exchange's form and delivery method for event disclosure

Forms for public issuer requiring disclosure

18 Forms for public issuer requiring disclosure from registered holder or person who has relevant interests

Schedule 1
Default forms for event disclosure

Schedule 2
Overseas jurisdictions

Schedule 3
Forms for public issuer requiring disclosure

Gazette information

Reprint notes