Current Exemption Notices

Notices currently in force are listed below. Follow the links to see more information about each notice, including the type of notice and expiry date. To read notices which are statutory regulations, as indicated by an SR number, go to the New Zealand Legislation website. All other notices are available on this website with the notice details. Copies are also available for purchase from FMA on request. See office contact details.

You can continue to rely on Securities Act regime exemptions, to the extent they still apply and have not expired, for offers able to be made under the Securities Act during the transition from the Securities Act to the Financial Markets Conduct Act 2013 (FMC Act) regime.

All existing Securities Act exemptions become redundant at the end of the relevant transition period, regardless of their expiry date, because you will no longer be able to offer or manage securities under the Securities Act regime.

Also see our information on exemptions under consideration.

Date Act Details for ExemptionRegistryItem
24 February 2015 Securities Act (Augusta Funds Management Limited – Southgate Proportionate Ownership Scheme)

DateInForce: 2015-02-24

Act: Securities Act

Company: Augusta Funds Management Limited – Southgate Proportionate Ownership Scheme

19 December 2014 Securities Act (Banks’ Regulatory Capital)

DateInForce: 2014-12-19

Act: Securities Act

Company: Banks’ Regulatory Capital

19 December 2014 Securities Act 1978 (Heartland Bank Regulatory Capital (No 2))

DateInForce: 2014-12-19

Act: Securities Act 1978

Company: Heartland Bank Regulatory Capital (No 2)

1 December 2014 Financial Markets Conduct Act 2013 (NZX-NXT Market)

DateInForce: 2014-12-01

Act: Financial Markets Conduct Act 2013

Company: NZX-NXT Market

1 December 2014 Financial Markets Conduct Act 2013 (Disclosure of Relevant Interests by Directors and Senior Managers)

DateInForce: 2014-12-01

Act: Financial Markets Conduct Act 2013

Company: Disclosure of Relevant Interests by Directors and Senior Managers

1 December 2014 Financial Markets Conduct Act 2013 (NZCDC Settlement System)

DateInForce: 2014-12-01

Act: Financial Markets Conduct Act 2013

Company: NZCDC Settlement System

1 December 2014 Financial Markets Conduct Act 2013 (Insider Trading – Fonterra Co-operative Group Limited)

DateInForce: 2014-12-01

Act: Financial Markets Conduct Act 2013

Company: Insider Trading – Fonterra Co-operative Group Limited

1 December 2014 Financial Markets Conduct Act 2013 (Masthead Joint Venture)

DateInForce: 2014-12-01

Act: Financial Markets Conduct Act 2013

Company: Masthead Joint Venture

1 December 2014 Financial Markets Conduct Act 2013 (Meridian Energy Limited Substantial Product Holder)

DateInForce: 2014-12-01

Act: Financial Markets Conduct Act 2013

Company: Meridian Energy Limited Substantial Product Holder

30 November 2014 Securities Act 1978 (Lloyds Banking Group)

DateInForce: 2014-11-30

Act: Securities Act 1978

Company: Lloyds Banking Group

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