New Zealand Financial Markets Law and Practice walks readers through the complex legislative framework, explaining relevant regulations and guidance, cases and the rationale for the new requirements.

New Zealand Financial Markets Law and Practice is written by experienced financial markets practitioners.

Content coverage


  • Financial markets conduct offer disclosure
  • Governance of financial products
  • Market services (licensed fund managers, independent trustees, DIMS providers, crowd funding and peer-to-peer lending providers)
  • NZX Listing (including NXT)
  • Fair dealing
  • Market misconduct
  • Takeovers
  • Financial advisers
  • Financial service providers registration
  • Broking services
  • Anti-money laundering *new September 2016
  • Securities Act
  • Regulators and enforcement


  • Financial Markets Conduct Act 2013
  • Financial Markets Authority Act 2011
  • Financial Reporting Act 2013 
  • Financial Reporting Act 1993
  • Takeovers Act 1993 and Takeovers Code
  • Financial Markets Supervisors Act 2011
  • Financial Advisers Act 2008 and Code of Professional Conduct for Authorised Financial Advisers
  • Financial Service Providers (Registration and Dispute Resolution) Act 2011
  • Auditors Regulation Act 2011
  • Anti-Money Laundering and Countering Financing of Terrorism Act 2009
  • Corporations (Investigation and Management) Act 1989
  • Securities Act 1978 and Securities Markets Act 1988

Also including all relevant regulations, notices and exemption notices.

The commentary and legislation on securities and financial services laws in New Zealand Company Law and Practice are being withdrawn from that publication. New and updated securities/financial markets laws commentary and related legislation are now part of  New Zealand Financial Markets Law and Practice. The new updating service became available in July 2016.

CCH reported cases

The subscription includes all cases reported by CCH in New Zealand Company Law Cases. These cases include historical and current securities and financial markets law cases.

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