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Financial Advisers Act exemptions

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    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/financial-advisers-act-exemptions/personalised-digital-advice-exemption-amendment-notice-no-4-2019/

    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/financial-advisers-act-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/financial-advisers-act-exemptions/digital-advice-exemption-5/

    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/financial-advisers-act-exemptions/financial-advisers-personalised-digital-advice-exemption-amendment-notice-no-2-2018/

    30 August 2018

    Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice 2018

    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 Nikko Asset Management New Zealand Limited (Nikko Asset Management) to that list of entities.

    http://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-advisers-act-exemptions/financial-advisers-personalised-digital-advice-exemption-amendment-notice-2018/

    28 July 2017

    Financial Advisers (Non-NZX Brokers--Client Money) Exemption Notice 2017

    Financial Advisers (Non-NZX Brokers--Client Money) Exemption Notice 2017

    Regulatory Impact Statement: Non-NZX Broker Client Money

    This notice has been amended with below notice:

    Financial Advisers (Non-NZX Brokers-Client Money) Exemption Amendment Notice 2020











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    http://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-advisers-act-exemptions/financial-advisers-non-nzx-brokers-client-money-exemption-notice-2017/