Rider Penalties
- B Grylls | Rotorua 16 November; used whip in consecutive strides; suspended 25 November – 2 December inclusive.
- O Bosson | Rotorua 16 November; used whip in consecutive strides; suspended 3-10 December inclusive.
- J Laking | Southland 17 November; careless riding; suspended 18 November – 1 December inclusive.
- G Jogoo | Southland 17 November; careless riding; suspended 18 November – 1 December inclusive.
- B May | Southland 17 November; careless riding; suspended 27 November – 4 December inclusive.
- S Weatherley | Taranaki 19 November; careless riding; suspended 28 November – 3 December inclusive.
- R Beemud | Waikato 20 November; excessive use of whip; fined $250.
- L Innes | Waikato 20 November; excessive use of whip; fined $500.
- S Weatherley | Waikato 20 November; used whip in consecutive strides; fined $800.
- M Sanson | Rangitikei 20 November; careless riding; suspended 25-28 November inclusive.
- D Turner | Rangitikei 20 November; excessive use of whip; fined $250.
- S Macnab | Rangitikei 20 November; easing the pace; suspended 26 November – 2 December inclusive.
Trainer Penalty
- B Clement | Rangitikei 20 November; failed to obey a directive from a Steward; fined $100.
Horse Penalties
- VALADAMS | Rotorua 16 November; unsatisfactory performance; must complete trial.
- MANDALO | Rotorua 16 November; unsatisfactory performance; must complete trial.
- CHOICE DU JEU | Southland 17 November; bled; stood down for 3 months and veterinary clearance required.
- SORRIDA | Southland 17 November; late scratching after refusing to go to start; must complete trial.
- CUTTING EDGE | Southland 17 November; made abnormal breathing noises; veterinary clearance required.
- PASHAMALA | Taranaki 19 November; bucked in running; must complete trial.
- THEBEASTFORTHEEAST | Waikato 20 November; bled for 2nd time; ineligible to race in New Zealand.
- PRINCE KANTO | Waikato 20 November; lame right foreleg; veterinary clearance required.
- BIG MIKE | Waikato 20 November; irregular heart beat; veterinary clearance required.