New Zealand Legislation: Supplementary Order Papers

• (ga) a registered valuer giving advice in the course of his or her professional practice as a registered valuer if the advice is a necessary incident of the professional practice of a registered valuer; or

• (gb) any of the following persons making an investment transaction in relation to a security:

  • (i) an issuer or a trustee (within the meaning of the Securities Act 1978 or the Unit Trusts Act 1960):

  • (ii) a nominated person of a trustee (within the meaning of the Unit Trusts Act 1960):

  • (iii) a nominee of a nominated person of a trustee (within the meaning of the Unit Trusts Act 1960):

  • (iv) a statutory supervisor (within the meaning of the Securities Act 1978):

  • (v) a security registrar appointed by the issuer; or

• (gc) a person who only transmits money or other property without being able to apply the money or property for any other purpose; or

• (k) a person giving advice, or making an investment transaction, in relation to a category 2 product or providing a financial planning service, if the advice is given, or the transaction is made, or the planning service is provided without charge in the course of a service offered by a non-profit organisation; or

• (m) an employer providing assistance to an employee with the implementation of a decision to acquire or dispose of a financial product made available through the employee's workplace unless the assistance includes or is accompanied by a recommendation or opinion as to the suitability of the financial product; or