Capital Raising, Securities Law, Managed Funds



Lowndes Jordan has significant expertise in all aspects of capital raising in New Zealand and, through our network of associate firms, in other jurisdictions, particularly the United States and Australia. We also have significant expertise advising on securities law and the establishment of, and on-going compliance requirements for, investment products in New Zealand.

We can advise you on:

  • NZX initial public offerings.
  • Placement of securities in reliance on disclosure exclusions.
  • Preparation of offering documents (prospectuses, investment statements, product disclosure statements and placement memoranda in reliance on disclosure exclusions).
  • The application of the Financial Markets Conduct Act, Securities Act, NZX main board/debt market listing rules, and the rules applying to other NZX-operated markets, for both public and non public securities offerings (either with or without reliance on disclosure exclusions).
  • Establishing and structuring investment products (including drafting and negotiating trust deeds, investment management agreements, custody agreements and management and administration agreements).
  • Establishing internal compliance frameworks, due diligence investigations and underwriting arrangements.
  • Ongoing compliance requirements.
  • Securities advertising.
  • Offering foreign investment products in New Zealand (retail and wholesale).
  • Regulation of futures, option dealers and derivative issuers in New Zealand.


We can also provide access to a full range of complementary service providers whose input will ensure the success of any major fund raising initiative. We can manage on your behalf, or make available to you, recommended expertise in:

  • Stock broking and investment banking.
  • Advertising and promotion.
  • Printing and publishing.
  • Taxation, auditing and accounting.

Lowndes Jordan has significant expertise in all aspects of capital raising in New Zealand and, through our network of associate firms, in other jurisdictions, particularly the United States and Australia. We also have significant expertise advising on securities law and the establishment of, and on-going compliance requirements for, investment products in New Zealand.

We can advise you on:

  • NZX initial public offerings.
  • Placement of securities in reliance on disclosure exclusions.
  • Preparation of offering documents (prospectuses, investment statements, product disclosure statements and placement memoranda in reliance on disclosure exclusions).
  • The application of the Financial Markets Conduct Act, Securities Act, NZX main board/debt market listing rules, and the rules applying to other NZX-operated markets, for both public and non public securities offerings (either with or without reliance on disclosure exclusions).
  • Establishing and structuring investment products (including drafting and negotiating trust deeds, investment management agreements, custody agreements and management and administration agreements).
  • Establishing internal compliance frameworks, due diligence investigations and underwriting arrangements.
  • Ongoing compliance requirements.
  • Securities advertising.
  • Offering foreign investment products in New Zealand (retail and wholesale).
  • Regulation of futures, option dealers and derivative issuers in New Zealand.


We can also provide access to a full range of complementary service providers whose input will ensure the success of any major fund raising initiative. We can manage on your behalf, or make available to you, recommended expertise in:

  • Stock broking and investment banking.
  • Advertising and promotion.
  • Printing and publishing.
  • Taxation, auditing and accounting.

OUR EXPERTS

Michael Busch
Partner

Rick Shera
Partner

Graham Jordan
Partner

Andrew Wallace
Partner

Luke Balmforth
Senior Associate

Michelle York
Senior Associate