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Securities Law under the Financial Markets Conduct Act - essentials

Securities Law under the Financial Markets Conduct Act - essentials
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The Financial Markets Conduct Act 2013 (the FMCA) governs how financial products are offered and sold and the ongoing responsibilities of those who offer, deal, and trade them. The FMCA is wide ranging and applies to almost any dealings in shares or other securities. This seminar will consider the fundamentals of the law in this area and help ensure that you are able to provide your clients with robust advice. The focus will be on the practicalities of offering and dealing in financial products without a product disclosure statement through the key offering exceptions, pointers for dealing with risk under the FMCA, and liability matters. 

This seminar will include:

  • An overview of the provisions in the FMCA covering the issuance, offer and sale of financial products (securities)
  • Commonly relied on exemptions from the requirement for a product disclosure statement
  • Liability and risk mitigation
  • Tips for lawyers to help clients execute on transactions practically under the FMCA.

Learning objectives

By attending this seminar you will be able to:

  • Obtain an overview of how the FMCA and exemptions operate.
  • Advise clients on private fundraising matters and compliance.
  • Help clients manage risks arising and liabilities under the FMCA.

Who should attend

All levels of experience in corporate, commercial and in-house lawyers.


A short paper, in PDF format, together with a copy of the powerpoint presentation will be emailed out prior to the seminar.


  • 4.00pm - 6.00pm

Fee (incl GST)

In Short

  • $145 - NZLS members and Associate members
  • $195 - Non-members
  • Live web stream group pricing available! Click here

Do you want to register more than one person for this course? Use the Multiple Registration button below or Click here
Download PDF registration form

Live Web Stream 21 October
Auckland 21 October


Marika-Eastwick-Field-RFP-Profile WEB EDIT Marika Eastwick-Field
Partner, Russell McVeagh, Auckland

Marika is a commercial litigator with expertise in complex commercial disputes, companies and securities law, financial services and insurance. She represents clients in the courts and in arbitrations in relation to a range of commercial disputes, and also provides advice on corporate transactions and governance issues to assist her clients to mitigate and manage risk.

David-Raudkivi-RFP-Profile WEB EDIT David Raudkivi
Partner, Russell McVeagh, Auckland

David focuses on capital markets, M&A, takeovers, private equity and other corporate transactions. He has extensive experience on public company transactions, including significant initial public offerings, secondary capital raisings, block trades, takeovers and schemes of arrangement, and on corporate governance issues.

Cancellation and refund policy

You may cancel your registration eight working days in advance of an event, and you will receive a refund less a 25% administration fee. If you cancel less than eight working days in advance of the event, no refund is payable. If you are unable to attend, you may transfer your registration to another person. If you wish to do so you must advise CLE in writing of the change. NZLS CLE Ltd reserves the right to close registrations, and, cancel or reschedule an event as necessary. Where an event is cancelled by CLE, a full refund is payable.

Registrant Details

Use this window to add all the registrants you wish to register on behalf of. If you want to attend the course also, ensure you add yourself as one of the registrants. Make sure you press ‘save’ after adding each new registrant.

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Securities Law under the Financial Markets Conduct Act - essentials - Live Web Stream

21 October - At your desk or device

NZ $195.00

Multiple Registration

Securities Law under the Financial Markets Conduct Act - essentials - Auckland

21 October - NZLS Auckland Branch

NZ $195.00

Multiple Registration
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freephone (within NZ)
0800 333 111

[email protected]

04 472 7837

04 463 2986
Level 4, 17-21 Whitmore Street
Wellington 6011

DX SP 20202
PO Box 5041
Wellington 6140
New Zealand