Regulations made under this part of the law can apply to a company that issues derivatives. You need to know that this applies whether the company has a licence or not. The company may or may not be making a regulated offer when this applies.
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View the original legislation for this page at https://legislation.govt.nz/act/public/1986/0120/latest/link.aspx?id=DLM4091657.
446W: Review of subpart and licensing requirement for financial institutions, or
"Checking if financial institution rules are working well"
448: Regulations regulating holding and application of investor funds and property by derivatives issuers, or
"Rules for keeping investors' money and property safe with derivatives issuers"
Regulations made under this subpart may apply to a derivatives issuer (whether or not it is licensed and whether or not it makes any regulated offer).
