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Financial Markets Conduct Act exemptions

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Found 110 results. Displaying page 5 of 6

    1 May 2016

    Financial Markets Conduct (Craigs Investment Partners Limited Contingency DIMS) Exemption Notice 2016

    Expires: This notice is revoked on the earlier of:— (a) any variation to or cancellation of a DIMS licence which has been granted to CIP, the effect of which is that CSL is not authorised to act as a custodian for financial products acquired or disposed of under CIP’s DIMS; or (b) the close of 1 May 2021. Financial Markets Conduct Act (Craigs Investment Partners Limited Contingency DIMS) Exemption Notice 2016  ...

    https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/financial-markets-conduct-act-craigs-investment-partners-limited-contingency-dims-exemption-notice-2016/

    11 March 2016

    Financial Markets Conduct (AMP Wealth Management New Zealand Limited – Australian Registers) Exemption Notice 2016

    Financial Markets Conduct (AMP Wealth Management New Zealand Limited – Australian Registers) Exemption Notice 2016 Share this Share on Facebook Tweet this Email this Back to top...

    https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/financial-markets-conduct-amp-wealth-management-new-zealand-limited-australian-registers-exemption-notice-2016/

    5 February 2016

    Financial Markets Conduct (Wholesale Investor Exclusion—$750,000 Minimum Investment) Exemption Notice 2016

    Financial Markets Conduct (Wholesale Investor Exclusion—$750,000 Minimum Investment) Exemption Notice 2016 RIS: Investor warning and acknowledgement exemptions for the $750,000 minimum investment wholesale investor exclusion     Share this Share on Facebook Tweet this Email this Back to top...

    https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/financial-markets-conduct-wholesale-investor-exclusion750000-minimum-investment-exemption-notice-2016/

    6 November 2015

    Financial Markets Conduct Act (Offers of Financial Products Through Authorised Financial Advisers Supplying Personalised DIMS)

    Financial Markets Conduct Act (Offers of Financial Products Through Authorised Financial Advisers Supplying Personalised DIMS) Exemption Notice Share this Share on Facebook Tweet this Email this Back to top...

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

    14 September 2015

    Financial Markets Conduct (First Mortgage Trust Group Investment Fund and First Mortgage PIE Trust)

    Financial Markets Conduct (First Mortgage Trust Group Investment Fund and First Mortgage PIE Trust) Exemption Notice 2015 Notice under section 68 of the Financial Markets Conduct Act 2013 PDS consideration unnecessary Share this Share on Facebook Tweet this Email this Back to top...

    https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/financial-markets-conduct-act-exemptions/financial-markets-conduct-first-mortgage-trust-group-investment-fund-and-first-mortgage-pie-trust/