Participant details — Debt, equity and derivatives

All participants must first exist on another register or directory

When registering an offer, you'll need to enter the names of all relevant participants, or the number that's been allocated to them on the relevant Companies Office register or directory. Then you can provide details for debt and equity securities, and derivatives participants as needed.

Check participants are on a register or directory first

You'll need to provide the names of all relevant participants, or the number that's been allocated to them on the relevant Companies Office register or directory.

Most participants will be found on a Companies Office register and if not, will need to be recorded on the Other Participants directory.

This means your application to register an offer automatically updates certain participant details which are held in the following places:

Participant Source
Companies registered in NZ Companies Register
Other entity registered in NZ, eg, credit union, overseas issuer, limited partnership Companies Office
Individuals, boards of trustees, partnerships and other participants Other Participants directory
Financial service providers Financial Service Providers Register

 

Participant details — Debt securities

You need to provide the following information for debt securities participants.

Issuer

  • Issuer's name and registration number on a Companies Office register or the Other Participants directory.
  • The issuer's financial service provider (FSP) number, if required — ensure they are registered for "Participating in an FMC offer as an issuer or offeror of financial products".
  • Issuer's email address so we can communicate directly with the issuer. If you're a third party acting on behalf of an issuer, this must be the issuer's email address, not yours.
  • The 'address of register of regulated products', if different from the issuer's registered office address.

Offeror

An offer can have more than 1 offeror. If the offeror is not the issuer, provide the following details:

  • Offeror's name and registration number.
  • The offeror's FSP number, if required — ensure they are registered for "Participating in an FMC offer as an issuer or offeror of finance products".
  • Offeror's email address. If you're a third party acting on behalf of the issuer, this must be the offeror's email address, not yours.

Supervisor

All offers must have a supervisor. Provide the following details:

  • Supervisor's name and number.
  • Supervisor's FSP number — ensure they are licensed as a "Supervisor of a regulated offer of debt securities".
  • Supervisor's email address. If you're a third party acting on behalf of the issuer, this must be the supervisor's email address, not yours.

Conduit issuer

An offer can have more than 1 conduit issuer recipient. If a conduit issuer recipient exists, provide the following details.

  • Conduit issuer recipient's name and number.
  • Conduit issuer recipient's FSP number. A conduit issuer must be a registered FSP — no specific licence is required.

Guarantor

An offer can have more than 1 guarantor. If a guarantor exists, provide the name and registration number of each guarantor (if any).

Participant details — Equity securities

You need to provide the following information for equity securities participants

Issuer

  • Issuer's name and registration number on a Companies Office register or the Other Participants Directory.
  • The issuer's FSP number, if required — ensure they are registered for "Participating in an FMC offer as an issuer or offeror of financial products".
  • Issuer's email address so we can communicate directly with the issuer. If you're a third party acting on behalf of an issuer, this must be the issuer's email address, not yours.
  • The 'address of register of regulated products', if different to the issuer's registered office address.

Offeror

An offer can have more than 1 offeror. If the offeror is not the issuer, provide the following details.

  • Offeror's name and registration number.
  • The offeror's FSP number, if required — ensure they are registered for "Participating in an FMC offer as an issuer or offeror of financial products".
  • Offeror's email address. If you're a third party acting on behalf of the issuer, this must be the offeror's email address, not yours.

Participant details — Derivatives

You need to provide the following information for derivative participants.

Issuer

  • Issuer's name and registration number on a Companies Office register or the Other Participants Directory.
  • The issuer's financial service provider (FSP) number, if required — ensure they are registered for "Participating in an FMC offer as an issuer or offeror of financial products".
  • Issuer's email address so we can communicate directly with the issuer. If you're a third party acting on behalf of an issuer, this must be the issuer's email address, not yours.

Offeror

An offer can have more than 1 offeror. If the offeror is not the issuer, provide the following details.

  • Offeror's name and registration number.
  • The offeror's FSP number, if required — ensure they are registered for "Participating in an FMC offer as an issuer or offeror of financial products".
  • Offeror's email address. If you're a third party acting on behalf of the issuer, this must be the offeror's email address, not yours.

Guarantor

An offer can have more than 1 guarantor. If a guarantor exists, provide the name and registration number of each guarantor (if any).

Adding a participant to the Other Participants directory

The Other Participants directory lists individuals, boards of trustees, partnerships and other participants that don't exist on another Companies Office register.

If you've searched the directory and can't find your participant listed there, you'll need to add them to the Other Participants directory.

Search the Other Participants directory

Who can add a participant to the directory

To add a participant to the directory you must:

  • have a RealMe® login
  • be a registered user of your organisation's online services account
  • have authority to act.

Add a participant to the directory

To add a participant to the directory, log in to your organisation's online services account and follow these steps.

  1. Select the Other participants tab.
  2. From the drop-down menu select Record other participant.
  3. Select the type of participant you want to record.
  4. Complete the relevant fields and select Apply.

The participant is now recorded on the Other Participants directory and you'll see them listed in the Portfolio section of your Dashboard.

You can now add the participant to a scheme, maintain their details and provide financial statements if required.

More 'Debt and equity securities, and derivatives offers registration process' guides:

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