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Exemptions: Financial Advisers Act 2008

Page last updated: 02 December 2019

The Guidance note explains the approach of the Financial Markets Authority (the FMA) to granting exemptions under the Financial Advisers Act 2008. It is intended to provide answers to commonly asked questions in relation to exemptions and to provide information to potential applicants on the process for making an application.

The guidance note is for:

  • Financial Advisers
  • QFEs Legal Counsel
  • Auditors
  • Senior Executives
  • Supervisors Trustees
  • Risk Officers
  • Compliance Officers
  • Company Directors

Download Exemptions: Financial Advisers Act 2008 PDF.