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Financial Markets Conduct Act 2013

Dealing in financial products on markets - Disclosure of relevant interests in quoted financial products by directors and senior managers of listed issuers

304: Listed issuer must keep interests register

You could also call this:

"Listed companies must keep a record of people's interests in New Zealand."

Illustration for Financial Markets Conduct Act 2013

If you are a listed issuer, you must keep an interests register for disclosures made to you under this subpart. You must keep the interests register at your registered office or another place in New Zealand, and you must give notice of this place. If you move the register, you must tell the FMA within 10 working days.

You can use the same interests register that you keep under section 189(1)(c) of the Companies Act 1993. This means you do not have to keep a separate register.

These rules do not limit what you must do under the Companies Act 1993, and you must still follow those rules.

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View the original legislation for this page at https://legislation.govt.nz/act/public/1986/0120/latest/link.aspx?id=DLM4091449.

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303A: Extended time for disclosure for trustees, executors, and administrators, or

"More time to disclose interests for people managing someone's estate"

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305: Public inspection of interests register, or

"Checking the list of people with a stake in a company is allowed"

Part 5Dealing in financial products on markets
Disclosure of relevant interests in quoted financial products by directors and senior managers of listed issuers

304Listed issuer must keep interests register

  1. A listed issuer must keep an interests register for disclosures made to it under this subpart.

  2. The interests register must be kept at—

  3. the registered office of the listed issuer; or
    1. any other place in New Zealand of which notice is given in accordance with subsection (3).

      1. If the interests register is not kept at the listed issuer's registered office, or the place at which it is kept is changed, the listed issuer must give written notice to the FMA of the place at which it is kept within 10 working days after it is first kept elsewhere or is moved.

      2. The interests register may be the same interests register as that kept under section 189(1)(c) of the Companies Act 1993.

      3. This section and sections 305 and 306 do not limit the Companies Act 1993.

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