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Financial Markets Conduct Act 2013

Governance of financial products - Registers and keeping copies of documents - Registers

223: Copies of documents

You could also call this:

"Getting a copy of a document you are allowed to see"

Illustration for Financial Markets Conduct Act 2013

You can ask for a copy of a document, or part of a document, from a register that you are allowed to look at under section 221. You must ask for the copy in writing and the issuer must send it to you within 5 working days. You must also pay the prescribed fee, if there is one.

If you ask for a copy, the issuer must give it to you, as long as section 224 does not apply. If the issuer does not give you the copy, they can be fined up to $50,000. This is considered an infringement offence, which is explained in subpart 5 of Part 8.

You have the right to get a copy of the document if you follow the rules. The issuer has to follow the rules too, or they might get in trouble.

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View the original legislation for this page at https://legislation.govt.nz/act/public/1986/0120/latest/link.aspx?id=DLM4091248.

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"How to look at a company's records"

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"You must say why you want information from a register and the FMA can allow delays."

Part 4Governance of financial products
Registers and keeping copies of documents: Registers

223Copies of documents

  1. A person may require a copy of, or an extract from, a register that is available for inspection by the person under section 221 to be sent to the person—

  2. within 5 working days after the person has made a written request for the copy or extract to the issuer; and
    1. if the person has paid the prescribed fee (if any).

      1. The issuer must comply with the request (subject to section 224).

      2. An issuer that contravenes subsection (2) commits an offence and is liable on conviction to a fine not exceeding $50,000.

      3. The offence in this section is an infringement offence (see subpart 5 of Part 8).

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