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1 | Overview of Part | |
2 | Part subject to FMA’s power to require disclosure | |
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3 | Offer to wholesale investor | |
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4 | Offers to close business associates | |
5 | Offers to relatives | |
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6 | Offers of financial products through licensed intermediaries | |
7 | Offers of financial products through DIMS licensees | |
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8 | Offers under employee share purchase schemes | |
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9 | Offers to persons under control do not need disclosure | |
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10 | Offers of financial products under dividend reinvestment plans | |
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11 | Offers of financial products for no consideration | |
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12 | Small offers | |
13 | Advertising restriction for small offers | |
14 | Matters relating to calculation | |
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15 | Offers of controlling interest where 5 or fewer investors | |
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16 | Exclusion for small schemes | |
17 | Advertising restriction for small schemes | |
18 | Counting of scheme participants | |
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19 | Exclusion for offers of financial products of same class as quoted financial products | |
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20 | Exclusions for certain offers of derivatives | |
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21 | Offers of prescribed financial products or debt securities by registered banks | |
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22 | Offers by the Crown, etc | |
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23 | Offers of interests in retirement villages | |
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24 | Offers of renewals or variations | |
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25 | Purposes of clauses 26 to 29 | |
26 | Disclosure and other requirements | |
27 | False or misleading statements and omissions | |
27A | Offeror is FMC reporting entity in prescribed circumstances | |
28 | Persons who must inform offeror about deficiencies in limited disclosure document | |
28A | Failure to lodge or give information to Registrar or FMA | |
29 | Regulations may prevent exclusions from applying in inappropriate circumstances | |
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30 | Application of this Part | |
31 | Sale where financial products issued with view to original holder dealing with products | |
32 | Sale where issuer advises, encourages, or knowingly assists offeror | |
33 | Off-market sale by controller | |
34 | Sale amounting to indirect off-market sale by controller | |
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35 | Meaning of retail investor and retail service | |
36 | Meaning of wholesale investor | |
37 | Investment businesses | |
38 | Investment activity criteria | |
39 | Meaning of large | |
40 | Definition of government agency | |
41 | Eligible investors | |
42 | Offeror may not rely on eligible investor certificate in certain circumstances | |
43 | Confirmation of certification | |
44 | Safe harbour if certificate given | |
45 | Offeror or provider may not rely on safe harbour certificate if knows A was not in fact wholesale investor | |
46 | Other provisions relating to certificates | |
47 | Offences relating to certificates | |
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48 | Meaning of control in this schedule | |
49 | Other definitions for schedule | |