1. Compliance
  2. Exemptions
  3. Current exemption notices
  4. Financial Markets Conduct Act exemptions

Financial Markets Conduct Act exemptions

Show advanced search

Clear all

Found 110 results. Displaying page 1 of 6

    22 July 2022

    Financial Markets Conduct (The City of London Investment Trust plc) Exemption Notice 2022

    The Financial Markets Conduct (The City of London Investment Trust plc) Exemption Notice 2022, exempts The City of London Investment Trust plc from certain financial reporting obligations in Part 7 of the Financial Markets Conduct Act 2013.

    https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/financial-markets-conduct-the-city-of-london-investment-trust-plc-exemption-notice-2022/

    1 July 2022

    Financial Markets Conduct (Futurity Investment Group Limited) Exemption Notice 2022

    The Financial Markets Conduct (Futurity Investment Group Limited) Exemption Notice 2022 (Exemption) exempts Futurity Investment Group Limited (the manager), as manager of Futurity managed investment schemes in New Zealand, principally from section 156(1) of the Financial Markets Conduct Act 2013 (the Act) subject to certain conditions.

    https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/financial-markets-conduct-futurity-investment-group-limited-exemption-notice-2022/

    15 March 2021

    Financial Markets Conduct (Booster Financial Services Limited) Exemption Notice 2020

    This notice exempts Booster Financial Services Limited (BFSL) and its nominated representatives from certain provisions of the Financial Markets Conduct Act 2013, in relation to the new financial advice regime. The effect of the notice is that BFSL is permitted to have nominated representatives under a transitional licence, and it and its nominated representatives have the benefit of the transitional regime’s competency safe harbour.

    https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/financial-markets-conduct-booster-financial-services-limited-exemption-notice-2020/

    1 April 2019

    Financial Markets Conduct (Harbour Investment Funds) Exemption Notice 2019

    Financial Markets Conduct (Harbour Investment Funds) Exemption Notice 2019 exempts Harbour Asset Management Limited (Harbour), the manager of the Harbour Investment Funds (Scheme) from clauses 53(1)(c)(viii), 53(1)(j), 54(1)(a)(i), 54(1)(d) and 70(1)(a)(i) of Schedule 4 of the Financial Markets Conduct Regulations 2014 (Regulations). Read more.

    https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/harbour-investment-funds/

    26 May 2022

    Financial Markets Conduct (Stride Property Group) Exemption Notice 2022

    The Financial Markets Conduct (Stride Property Group) Exemption Notice 2022 allows Stride Property Limited (SPL) and Stride Investment Management Limited Stride (SIML), as stapled entities (Stride Property Group), to prepare consolidated financial statements for the purposes of subpart 3 of Part 7 of the Financial Markets Conduct Act 2013 (the Act).

    https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/financial-markets-conduct-stride-property-group-exemption-notice-2022/

    1 May 2022

    Financial Markets Conduct (Imperium Markets Pty) Exemption Notice 2022

    Financial Markets Conduct (Imperium Markets Pty) Exemption Notice 2022 exempts Imperium Markets Pty Limited from the requirement under section 310 of the FMC Act to have a licence to operate a financial product market in New Zealand, subject to conditions.

    https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/financial-markets-conduct-imperium-markets-pty/