Commercial Law Series: Raising Capital from Private Investors or the Crowd

Author(s): compilation of papers


Materials comprised of a paper and a PowerPoint handout


Andrew Lewis, Principal, Andrew Lewis Law
Daniel Wong, Director, Flacks & Wong
Robbie Paul, CEO of Icehouse Ventures
Simeon Burnett, CEO and Co-founder, Snowball Effect
Chair: Jeremy Muir, Partner, MinterEllisonRuddWatts


Raising sufficient investment capital can be critical – but also challenging for a company wishing to start up or take off.

What does the law proscribe and permit? What investment options are available? What issues should be addressed during the negotiation phase? What course should the investment process follow? What should the paperwork look like? When might nominee companies be used?

Those acting for investment-seekers and investors alike will be able to upgrade their advice after attending these materials.

These materials will help you

  • Acquire a better understanding of the Financial Markets Conduct Act exemptions under which equity capital can be raised without a regulated disclosure document. 
  • Gain insights into the ecosystems in New Zealand for raising capital from private investors or the crowd.
  • Receive guidance on typical terms for an investment by sophisticated private investors or the crowd (including different share rights and control influence, where applicable).
  • Improve your understanding of the investment process. 
  • Enhance your knowledge of the investment documentation required.
  • Probe into the potential use of nominee companies.

Intended audience

General practitioners as well as intermediate to senior commercial lawyers seeking to further develop their core skills. Accountants and financial advisers would also benefit.

Publication dateMarch 2019
FormatPDF and/or hard copy
CPD Seminar Papers ISBN: C0560/P
ADLS Members $ 21.74
Non-Members (lawyer) $ 30.43
Non-Members (public) $ 30.43
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