Do you qualify as a Wholesale Investor?

 

The term “Wholesale Investor” is defined in the Financial Markets Conduct Act 2013 (the “Act”). All investment offers of financial products (being loan proposals for mortgage securities) (each an Offer) from DFNZ are only available to certain categories of Wholesale Investors and NOT to Retail Investors.

If you meet the criteria for one or more of the categories listed below (summarised from the Act), you are considered to be a Wholesale Investor.  Please see the Act for more information or consult with your professional adviser. DFNZ will require a certificate from you attesting to your Wholesale Investor status.

DFNZ does not provide financial advice relating to your Wholesale Investor status.

Am I a Wholesale Investor?

 

  • My net assets, combined with the net assets of entities I control, exceeded $5 million (within the last 2 financial years) – meaning I am within the “large” category of Wholesale Investor as defined in clauses 3(2)(c) and 39 of Schedule 1 to the Act.
  • My total consolidated turnover of myself and the entities I control exceeded $5 million (within the last 2 financial years) – meaning I am within the “large” category of Wholesale Investor as defined in clauses 3(2)(c) and 39 of Schedule 1 to the Act.
  • If I invest a minimum of $750,000 – meaning I am a Wholesale Investor under clause 3(b) of Schedule 1 to the Act.
  • I am a manager of a Registered Scheme, or a Discretionary Investment Management Service, or a derivatives issuer that holds a Market Services Licence – meaning I am an “investment business” Wholesale Investor as defined in clauses 3(2)(a) and 37 of Schedule 1 to the Act.

 

  • My principal business consists of providing a financial adviser service in relation to financial products – meaning I am an “investment business” Wholesale Investor as defined in clauses 3(2)(a) and 37 of Schedule 1 to the Act.
  • My principal business consists of investing in financial products – meaning I am an “investment business” Wholesale Investor as defined in clauses 3(2)(a) and 37 of Schedule 1 to the Act.
  • My principal business consists of providing a client money or property service – meaning I am an “investment business” Wholesale Investor as defined in clauses 3(2)(a) and 37 of Schedule 1 to the Act.
  • My principal business consists of trading in financial products on behalf of other people – meaning I am an “investment business” Wholesale Investor as defined in clauses 3(2)(a) and 37 of Schedule 1 to the Act.
  • I’m a financial adviser – meaning I am an “investment business” Wholesale Investor as defined in clauses 3(2)(a) and 37 of Schedule 1 to the Act.

DFNZ’s specialist team has decades of experience in the New Zealand property development marketplace. We are experts at managing risk and protecting your funds. Click here to learn about how we identify, manage and mitigate risk.

To learn more, click here to see our Frequently Asked Questions. If you have a question that isn’t covered here, please Contact Us.

If you are ready to invest with DFNZ and start generating returns, let’s start our conversation.

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