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Stock Transfer Request Form Template for New Zealand

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Key Requirements PROMPT example:

Stock Transfer Request Form

"I need a Stock Transfer Request Form for transferring 10,000 ordinary shares from my private investment company to three individual transferees, with the transfer to be completed by March 15, 2025, including necessary AML compliance declarations."

Document background
The Stock Transfer Request Form is a crucial document in New Zealand corporate transactions, used whenever shares need to be transferred between parties. This form, required under New Zealand law, particularly the Companies Act 1993 and Financial Markets Conduct Act 2013, must be completed to effectuate any share transfer in a New Zealand company. It captures essential information including the identities of the transferor and transferee, details of the shares being transferred, consideration paid, and necessary declarations. The form serves multiple purposes: it acts as formal documentation of the transfer request, provides necessary information for updating the company's share register, and creates an audit trail for regulatory compliance. It's particularly important for maintaining accurate records of company ownership and ensuring transparent corporate governance.
Suggested Sections

1. Transferor Details: Full legal name, address, and contact information of the current shareholder(s) transferring the shares

2. Transferee Details: Full legal name, address, and contact information of the person(s) or entity receiving the shares

3. Company Details: Full legal name of the company, company number, and registered office address

4. Share Details: Number and class of shares being transferred, distinctive numbers (if any), and consideration paid

5. Declaration and Execution: Formal declaration of transfer and signature blocks for transferor(s) and witness(es)

Optional Sections

1. Broker Details: Information about any broker facilitating the transfer, required when the transfer is conducted through a licensed broker

2. Joint Holder Details: Additional details section when shares are held or being transferred to joint holders

3. Corporate Authorization: Required when either party is a corporate entity, including details of authorized signatories and corporate resolutions

4. AML Compliance Declaration: Additional declarations required for compliance with anti-money laundering regulations, particularly for large transfers

5. Tax Declarations: Specific tax-related declarations or information required for certain types of transfers or when threshold amounts are exceeded

Suggested Schedules

1. Share Certificate: Copy of the original share certificate(s) being transferred

2. Proof of Identity: Copies of required identification documents for both transferor and transferee

3. Corporate Authority Documentation: Where applicable, board resolutions or powers of attorney authorizing the transfer

4. Payment Confirmation: Evidence of payment of consideration for the shares, if required

5. Broker's Statement: Statement from broker confirming the transaction details, if applicable

Authors

Alex Denne

Head of Growth (Open Source Law) @ ºÚÁÏÊÓÆµ | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

Relevant legal definitions



















Clauses















Relevant Industries

Financial Services

Legal Services

Corporate Services

Investment Banking

Stock Broking

Business Services

Professional Services

Banking

Asset Management

Private Equity

Family Office Services

Relevant Teams

Legal

Corporate Secretariat

Compliance

Finance

Investment

Corporate Services

Governance

Share Registry

Administration

Risk Management

Relevant Roles

Company Secretary

Legal Counsel

Corporate Lawyer

Compliance Officer

Share Registrar

Investment Manager

Corporate Services Manager

Finance Director

Chief Financial Officer

Legal Administrator

Company Director

Stock Broker

Investment Advisor

Corporate Governance Officer

Securities Administrator

Industries






Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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