Rider Penalties
- D Danis | Auckland 8 November; medical clearance required.
- L Sutherland | Canterbury 9 November; excessive use of whip; suspended 20 November – 2 December inclusive.
- D Stackhouse | Canterbury 9 November; excessive use of whip; fined $350.
- K Chowdhoory | Canterbury 9 November; careless riding; suspended 13-24 November inclusive.
- A Balloo | Canterbury 9 November; careless riding; suspended 17-25 November inclusive.
- M Taylor | Canterbury 9 November; careless riding; suspended 13-23 November inclusive.
- S Wynne | Canterbury 9 November; excessive use of whip; suspended 13-23 November inclusive.
- A Balloo | Canterbury 9 November; excessive use of whip; fined $250.
- C Johnson | Canterbury 9 November; medical clearance required.
- C Zackey | Tauranga 12 November; excessive use of whip; fined $1,725.
- T Taiaroa | Waipukurau 13 November; excessive use of whip; suspended 14-24 November inclusive.
- J Riddell | Waipukurau 13 November; excessive use of whip; fined $250.
- J Riddell | Waipukurau 13 November; failed to make weight; fined $200.
- M Hudson | Waipukurau 13 November; failed to make weight; fined $100.
- W Pinn | Waipukurau 13 November; medical clearance required.
Trainer Penalties
- C Cole | Auckland 8 November; late rider declaration; fined $50.
- K Rae & K Williams | Canterbury 9 November; incorrect gear; fined $50.
Horse Penalties
- OUR BIG BOY | Auckland 8 November; late scratching after becoming fractious in barrier; must complete trial.
- NAVY LARK | Canterbury 9 November; lame; veterinary clearance required.
- POPSY ONE | Manawatu 11 November; unsatisfactory performance; must complete trial.
- BRIDGET TOWN | Canterbury 12 November; reared at start; must complete trial.
- HEADS UP | Canterbury 12 November; fractious in barrier and awkward on jumping; must complete trial.
- KAPINOS | Waipukurau 13 November; lame left front leg; veterinary clearance required.
General
- The Manawatu RC meeting of 11 November was abandoned after Race 2 due to unsafe track conditions.
- The Canterbury JC meeting of 12 November was abandoned after Race 3 due to unsafe track conditions.