Financial Markets Conduct Act exemptions
Found 109 results. Displaying page 1 of 6
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The Financial Markets Conduct (Disclosure of Relevant Interests by Directors and Senior Managers) Exemption Notice 2019 continues the relief granted in the Financial Markets Conduct (Disclosure of Relevant Interests by Directors and Senior Managers) Exemption Notice 2014, which is revoked at the close of 30 November 2019.
https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/financial-markets-conduct-disclosure-of-relevant-interest-by-directors-and-senior-managers-exemption-notice-2019/
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The Financial Markets Conduct (NZCDC Settlement System) Exemption Notice 2019 continues the relief granted in Financial Markets Conduct (NZCDC Settlement System) Exemption Notice 2014, which is revoked at the close of 30 November 2019.
https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/financial-markets-conduct-nzdc-settlement-system-exemption-notice-2019/
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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.
https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/fonterra-2019/
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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.
https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/trueex-llc-exemption-revocation-2019/
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Financial Markets Conduct (Obsidian Contributory Mortgage Scheme) Exemption Notice 2019 comes into force on 22 October 2019 and is revoked on 21 October 2024. This notice exempts Obsidian Group Limited (the Manager) from some provisions of the Financial
Markets Conduct Regulations 2014 (the Regulations) and the Financial Markets Conduct Act
2013 (the Act) in respect of the Obsidian Contributory Mortgage Scheme (the Scheme).
https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/obsidian-2019/
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This notice, which comes into force on 22 October 2019 and is revoked on the close of 21 October 2024, exempts certain trustees of trusts that together either control, or have a potential future interest in, the Masthead Joint Venture 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.
https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/masthead-2019/
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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.
https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/insider-trading-lic-exemption-2019/
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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.
https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/methven-limited/
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A class exemption has been granted to provide managers of certain schemes that invest in secured loans with relief from the requirements to name borrowers in quarterly fund updates or on the register entry for the offer. Alternative information about the secured property must be provided instead, that will be more useful for investors. The exemptions come into force on 1 August 2019.
https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/managed-funds-loan-disclosure-requirements/
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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.
https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/financial-markets-conduct-silver-chef-limited-exemption-notice-2019/
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As per Financial Markets Conduct (Napier Port Holdings Limited) Exemption Notice 2019, Napier Port is exempted, in respect of the priority offer, from section 80(1) of the Act to the extent that that clause applies to the priority offer as a result of a PDS event; or a register entry event.
https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/napier-port-exemption/
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Clearwater Golf Club Limited is exempted from Part 7 of the Act with respect to a particular accounting period if the company would be an FMC reporting entity only by virtue of membership shares being regulated products.
https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/financial-markets-conduct-clearwater-golf-club-limited-exemption-notice-2019/
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Granting the exemption ensures that substantial holdings disclosed by the Goldman Sachs Group reflect the true positions held and does not mislead the market. Read more.
https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/goldman-sachs-exemption/
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Financial Markets Conduct (OnePath Custodians Pty Limited) Exemption Notice 2019 is subject to the same terms and conditions as that in the 2016 Exemption Notice with the only changes being the expiry date being extended for a further 5 years from the date of this notice. Read more.
https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/onepath-custodians/
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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/
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https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/financial-markets-conduct-invion-limited-exemption-notice-no-2-2018/
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Financial Markets Conduct (Same Class Offers ASX/NZX-Quoted Financial Products) Exemption Notice 2018 exempts issuers from the disclosure and governance requirements in Parts 3 and 4 of the Financial Markets Conduct Act 2013 (the Act) in relation to offers of the same class as financial products that are quoted on ASX where the issuer has a secondary listing on a licensed market operated by NZX Limited. Read more.
https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/financial-markets-conduct-same-class-offers-asxnzx-quoted-financial-products-exemption-notice-2018/
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https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/financial-markets-conduct-todd-family-office-limited-financial-reporting-exemption-notice-2018/
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Financial Markets Conduct (i-Select Superannuation Scheme) Exemption Notice 2018 exempts i-Select Limited (i-Select) as manager of the i-Select Superannuation Scheme (the self-select scheme) from some provisions of FMC Act. Read more.
https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/financial-markets-conduct-i-select-superannuation-scheme-exemption-notice-2018/
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Financial Markets Conduct (Portfolio Superannuation Scheme) Exemption Notice 2018 exempts Saturn Invest New Zealand Limited (Saturn) as manager of the Portfolio Superannuation Scheme (the self-select scheme) from some provisions of FMC Act. Read more.
https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/financial-markets-conduct-portfolio-superannuation-scheme-exemption-notice-2018/
