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Financial Markets Conduct Act exemptions

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Found 118 results. Displaying page 1 of 6

    1 December 2020

    Financial Markets Conduct (FNZ Group) Exemption Notice 2020

    The exemptions in this notice allow FNZ Group (FNZ Limited and FNZ Custodians Limited) who act as brokers and custodians to co-mingle firm money (FNZ money) with the scheme property of self –select managed investment schemes, on conditions that reflect in general those granted for brokers under the Financial Advisers Act 2008.

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

    5 November 2020

    Financial Markets Conduct (Sharesies Limited) Exemption Notice 2020

    The Financial Markets Conduct (Sharesies Limited) Exemption Notice 2020 exempts Sharesies Limited and Sharesies Group Limited in relation to an offer of shares in Sharesies Group Limited to shareholders of Sharesies Limited under a proposed scheme of arrangement pursuant to Part 15 of the Companies Act 1993.

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

    31 October 2020

    Financial Markets Conduct (US Futures Commission Merchants) Exemption Notice 2020

    The Financial Markets Conduct (US Futures Commission Merchants) Exemption Notice 2020 provides relief to accredited NZX derivatives participants that are domiciled in the US and registered as futures commodity merchants (FCMs) with the Commodity Futures Trading Commission.

    https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/financial-markets-conduct-us-futures-commission-merchants-exemption-notice-2020/

    6 November 2020

    Financial Markets Conduct (Offers of Financial Products Through Authorised Financial Advisers Supplying Personalised DIMS) Exemption Notice 2020

    Financial Markets Conduct (Offers of Financial Products Through Authorised Financial Advisers Supplying Personalised DIMS) Exemption Notice 2020

    https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/fmc-offers-of-financial-products-through-afas-supplying-personalised-dims-exemption-notice-2020/

    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 July 2020

    Financial Markets Conduct (AxiCorp Financial Services Pty) Exemption Notice 2020.

    The Financial Markets Conduct (AxiCorp Financial Services Pty Ltd) Exemption Notice 2020 provides relief to AxiCorp Financial Services Pty Ltd (AxiCorp) from certain financial reporting and audit obligations of the FMC Act as well as the requirement in Schedule 6 of the FMC Regulations that the register entry for an offer of derivatives contains financial statements that comply with NZ GAAP and have been audited by a qualified auditor (as that term is defined in the FMC Act).

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

    16 July 2020

    Financial Markets Conduct (Takeovers Panel) Exemption Notice 2020

    The notice exempts the Takeovers Panel (the Panel) from the substantial holding disclosure provisions of the Financial Markets Conduct Act 2013 (the FMC Act) in respect of any relevant interest in quoted voting products of a listed issuer that the Panel has, as the result of an enforceable undertaking.

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

    21 May 2020

    Financial Markets Conduct (Canterbury Mortgage Trust Group Investment Fund) Exemption Notice 2020

    The Financial Markets Conduct (Canterbury Mortgage Trust Group Investment Fund) Exemption Notice 2020 exempts Canterbury Fund Managers Limited in respect of the Canterbury Mortgage Trust Group Investment Fund (Scheme) from requirements under the Financial Markets Conduct Act 2013 to prepare and submit audited financial statements in relation to the Scheme’s balance date of 31 March 2020.

    https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/financial-markets-conduct-canterbury-mortgage-trust-group-investment-fund-exemption-notice-2020/

    5 June 2020

    Financial Markets Conduct (Financial Reporting – DIMS Licensees) Exemption Notice 2020

    The Financial Markets Conduct (Financial Reporting – DIMS Licensees) Exemption Notice 2020 grants an exemption in favour of small to medium-sized licensed providers of DIMS. It provides relief from certain financial reporting and audit obligations under the FMC Act.

    https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/financial-markets-conduct-financial-reporting-dims-licensees-exemption-notice-2020/

    29 May 2020

    Financial Markets Conduct (Overseas Registered Banks and Licensed Insurers) Exemption Notice 2020.

    The Financial Markets Conduct (Overseas Registered Banks and Licensed Insurers) Exemption Notice 2020 provides relief to overseas banks and insurers from certain financial reporting and audit obligations.

    https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/financial-markets-conduct-overseas-registered-banks-and-licensed-insurers-exemption-notice-2020/