Registering prospectus documents

Historically the Companies Office has registered prospectuses and also offered a pre-registration checking service. From 1 May 2011 that process changed with the introduction of the Financial Markets Authority Act 2011 and the establishment of the Financial Markets Authority (FMA).

If you have a prospectus to register under the Securities Act 1978, you still register the relevant documents with the Companies Office, however there is no longer a pre-registration checking service.

Once a prospectus is registered, it may be reviewed by FMA to confirm that it complies with the Securities Act 1978 and the Securities Regulations.  As a result of this review FMA may make a decision to suspend or cancel the prospectus.

For more information on FMA and their role please visit the FMA website

Register securities documents online with the Companies Office

• Prepare an electronic file containing all of the relevant documents.  For a prospectus this includes any material contracts and authority documents that form part of the registrable document.
• Prepare a separate cover sheet to accompany your documents - this cover sheet will contain such information as how you will pay the registration fee (if applicable).
• Use the online form to upload your documents for registration.  Note | The overall file upload limit is 50MB - the files you upload must not exceed 50MB in total (that is, the combination of your cover sheet and the electronic file containing all the other relevant documents).
• Please note | If you require a document to be registered on the day you submit it, ensure you upload the document before 5pm.  Documents submitted after 5pm will be registered as at the next working day’s date. 
• Companies Office staff will assess the submitted documents and if they are registrable will accept them for registration and issue either a certificate of registration or a letter of confirmation. 
  
  Note | We will only be undertaking basic checks for registration purposes, for example we will check if the documents are correctly signed and dated.  No consideration will be given to the content of the documents registered.
   
• Once accepted for registration, electronic copies of the documents will be available for public view as part of the company's record on the Register of Companies.  The Companies Office will also contact the FMA and notify them that the documents have been registered.
• This registration process would normally be completed within four working hours.

You also have the option of hand delivering or mailing us your documents and registration fee.  Documents sent via post, or hand delivered to our offices, are registered as at the date we receive them.  Any documents received after 5pm will be registered as at the next working day’s date.  Note | Documents delivered in paper form may take longer to register.