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This certificate is for use by an investor who is seeking to invest in a company on the basis that they are a wholesale investor under Schedule 1 to the Financial Markets Conduct Act 2013. Very generally, a wholesale investor:

  • is an investment business
  • meets the required investment activity criteria
  • is sufficiently large
  • is a government agency, or
  • has certified that that they are an eligible person and that certification has been confirmed in writing by an independent lawyer, qualified statutory accountant or authorised financial advisor.

Each of these categories is explained more fully in the certificate. Our NZ securities law – tech company capital raising guide also provides more details on the wholesale investor exemption and other exemptions that may be applicable in tech company capital raising transactions.

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