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

Financial Markets Conduct Act exemptions

Show advanced search

Close advanced search

Clear all

Found 112 results. Displaying page 1 of 6

    12 August 2019

    Financial Markets Conduct (Methven Limited) Exemption Notice 2019

    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/

    1 August 2019

    Financial Markets Conduct (Managed Funds – Loan Disclosure Requirements) Exemption Notice 2019

    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/

    12 July 2019

    Financial Markets Conduct (Silver Chef Limited) Exemption Notice 2019

    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/

    15 July 2019

    Financial Markets Conduct (Napier Port Holdings Limited) Exemption Notice 2019

    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/

    27 May 2019

    Financial Markets Conduct (Clearwater Golf Club Limited) Exemption Notice 2019

    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/

    13 April 2019

    Financial Markets Conduct (OnePath Custodians Pty Limited) Exemption Notice 2019

    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/

    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/

    17 December 2018

    Financial Markets Conduct (Same Class Offers ASX/NZX-Quoted Financial Products) Exemption Notice 2018

    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/

    25 November 2018

    Financial Markets Conduct (i-Select Superannuation Scheme) Exemption Notice 2018

    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/

    25 November 2018

    Financial Markets Conduct (Portfolio Superannuation Scheme) Exemption Notice 2018

    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/

    31 October 2018

    Financial Markets Conduct (Asteron Retirement Investment Limited and Asteron Life Limited) Exemption Notice 2018

    Financial Markets Conduct (Asteron Retirement Investment Limited and Asteron Life Limited) Exemption Notice 2018 revokes the Financial Markets Conduct (Asteron Retirement Investment Limited and Asteron Life Limited) Exemption Notice 2016 (Existing Notice) and replaces it with a new notice. Read more.

    https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/financial-markets-conduct-asteron-retirement-investment-limited-and-asteron-life-limited-exemption-notice-2018/

    15 October 2018

    Financial Markets Conduct (Craigs Investment Partners Self-Select Schemes) Exemption Notice 2018

    Financial Markets Conduct (Craigs Investment Partners Self-Select Schemes) Exemption Notice 2018 exempts Craigs Investment Partners Superannuation Management Limited (CIPSML)from some provisions of FMC Regulations. Read more.

    https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/financial-markets-conduct-craigs-investment-partners-self-select-schemes-exemption-notice-2018/

    30 August 2018

    Financial Markets Conduct (New Zealand Retirement Trust) Exemption Notice 2018

    Financial Markets Conduct (New Zealand Retirement Trust) Exemption Notice 2018 exempts AMP Wealth Management New Zealand Limited (specified manager) as manager of the New Zealand Retirement Trust (specified scheme) from the requirement to restrict membership of the workplace savings section, conditions apply. Read more.

    https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/financial-markets-conduct-new-zealand-retirement-trust-exemption-notice-2018/

    28 August 2018

    Financial Markets Conduct (Christchurch City Holdings Limited Subsidiary Balance Date Alignment) Exemption Notice

    Financial Markets Conduct (Christchurch City Holdings Limited Subsidiary Balance Date Alignment) Exemption Notice exempts the board of Christchurch City Holdings Limited (CCHL) from requiring that its subsidiary Orian has the same balance date. Read more.

    https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/financial-markets-conduct-christchurch-city-holdings-limited-subsidiary-balance-date-alignment-exemption-notice/

    20 July 2018

    Financial Markets Conduct (Kuaotunu Camp Ground (2008) Limited) Exemption Notice 2018

    Financial Markets Conduct (Kuaotunu Camp Ground (2008) Limited) Exemption Notice 2018 exempts Kuaotunu Camp Ground (2008) Limited from Part 7 of the Act with respect to a particular accounting period if some conditions are met. Read more.

    https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/financial-markets-conduct-kuaotunu-camp-ground-2008-limited-exemption-notice-2018/