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Financial markets participant
Practical Law ANZ Glossary w-030-4664 (Approx. 2 pages)
Glossary
Financial markets participant
For the purposes of the Financial Markets Authority Act 2011 (FMAA 2011) includes a person who is, or is required to be, registered, licensed, appointed, accredited or authorised under the enactments listed in Part 1 of Schedule 1 of the FMAA 2011 and:
- A person who participates in a regulated offer as an issuer or offeror.
- A person who participates in an offer of financial products as an issuer or offeror and who is required to give a disclosure document under clause 26 of Schedule 1 of the Financial Markets Conduct Act 2013 (FMCA 2013).
- A person who acts, in respect of regulated products, as a:
- supervisor;
- manager;
- investment manager;
- administration manager;
- custodian; or
- qualified auditor.
- A listed issuer.