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Expired exemptions

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    1 December 2019

    Financial Markets Conduct (Insider Trading – Fonterra Co-operative Group Limited) Exemption Notice 2019

    The Financial Markets Conduct (Insider Trading – Fonterra Co-operative Group Limited) Exemption Notice 2019 is a renewal of the exemption granted under the Financial Markets Conduct (Insider Trading – Fonterra Co-operative Group Limited) Exemption Notice 2014 which expires on 30 November 2019.

    http://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/expired-exemptions/fonterra-2019/

    12 February 2018

    Financial Markets Conduct (trueEX LLC) Exemption Notice 2018

    The Financial Markets Conduct (trueEX LLC) Exemption Revocation Notice 2019 revokes the Financial Markets Conduct (trueEX LLC) Exemption Notice 2018 which exempted trueEX from having to be licenced to provide a financial product market. This exemption revoking the earlier exemption has been granted on the request of trueEX as it is no longer operating the financial product market.

    http://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/expired-exemptions/financial-markets-conduct-trueex-llc-exemption-notice-2018/

    1 December 2014

    Financial Markets Conduct Act (Masthead Joint Venture) Exemption Notice 2014

    This notice, which comes into force on 1 December 2014 and is revoked on 30 November 2019, exempts certain trustees from regulation 139 of the Financial Markets Conduct Regulations 2014 to the extent that the regulation requires event disclosures given by those trustees to have attached a full copy of the joint venture agreement that constitutes the Masthead Joint Venture.

    http://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/expired-exemptions/financial-markets-conduct-act-masthead-joint-venture/

    1 October 2019

    Financial Markets Conduct (Insider Trading – Livestock Improvement Corporation Limited) Exemption Notice 2019

    Financial Markets Conduct (Insider Trading – Livestock Improvement Corporation Limited) Exemption Notice 2019 exempts certain conduct from being insider conduct for the purposes of sections 241 and 243 of the Financial Markets Conduct Act 2013.

    http://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/expired-exemptions/insider-trading-lic-exemption-2019/

    16 August 2019

    Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice (No. 4) 2019

    The principal notice permits entities listed in Schedule 1 of the notice to provide personalised services to retail clients where those services are provided through a digital advice facility. This notice amends the principal notice to add Koura Wealth Limited (Koura) to that list of entities. Read more.

    http://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/expired-exemptions/personalised-digital-advice-exemption-amendment-notice-no-4-2019/

    12 August 2019

    Financial Markets Conduct (Methven Limited) Exemption Notice 2019

    Methven Limited is exempted from - (a) section 461D of the Act, in respect of the requirement to have the Methven FY19 Financial Statements audited by a qualified auditor; and (b) section 461H(1) of the Act, to the extent that section requires a copy of an auditor's report to be delivered to the Registrar for lodgment.

    http://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/expired-exemptions/methven-limited/

    12 July 2019

    Financial Markets Conduct (Silver Chef Limited) Exemption Notice 2019

    Financial Markets Conduct (Silver Chef Limited) Exemption Notice exempts Silver Chef Limited, subject to conditions, from the disclosure and governance requirements of Parts 3 and 4 of the Financial Markets Conduct Act 2013 (the Act), in relation to an offer made in connection with an Australian scheme of arrangement involving the exchange of all Silver Chef shares from existing Silver Chef shareholders resident in New Zealand for a combination of a cash and contingent value notes.

    http://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/expired-exemptions/financial-markets-conduct-silver-chef-limited-exemption-notice-2019/

    28 June 2019

    Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice (No. 3) 2019

    The principal notice permits entities listed in Schedule 1 of the notice to provide personalised services to retail clients where those services are provided through a digital advice facility. This notice amends the principal notice to add Pinnacle Life Limited (Pinnacle) to that list of entities. Read more.

    http://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/expired-exemptions/digital-advice-amendment-3-2019/

    8 May 2019

    Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice (No 2) 2019

    The principal notice permits entities listed in Schedule 1 of the notice to provide personalised services to retail clients where those services are provided through a digital advice facility. This notice amends the principal notice to add Sharesies Limited (Sharesies) to that list of entities. Read more.

    http://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/expired-exemptions/digital-advice-exemption-5/

    1 January 2019

    Financial Markets Conduct (NZX–NXT Market) Exemption Amendment Notice 2018

    Financial Markets Conduct (NZX–NXT Market) Exemption Amendment Notice 2018 amends the Financial Markets Conduct (NZX–NXT Market) Exemption Notice 2014 (the principal notice) to change the date on which the principal notice is revoked from 30 November 2019 to 30 June 2019. Read more.

    http://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/expired-exemptions/financial-markets-conduct-nzxnxt-market-exemption-amendment-notice-2018/

    14 November 2018

    Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice (No 2) 2018

    Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice (No 2) 2018 notice amends the principal notice to add Cigna Life Insurance New Zealand Limited (Cigna Life Insurance) to that list of entities. Read more.

    http://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/expired-exemptions/financial-advisers-personalised-digital-advice-exemption-amendment-notice-no-2-2018/