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
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

30 November 2014 Securities Markets Act 1988 (NZCDC Settlement System)

DateInForce: 2014-11-30

Act: Securities Markets Act 1988

Company: NZCDC Settlement System

18 November 2014 Financial Advisers (Australian Qualified Advisers)

DateInForce: 2014-11-18

Act: Financial Advisers

Company: Australian Qualified Advisers

14 November 2014 Securities Act (Evolve Education Group Limited)

DateInForce: 2014-11-14

Act: Securities Act

Company: Evolve Education Group Limited

12 November 2014 Securities Act 1978 (Securities Act (Kiwi Income Property Trust) Exemption Notice (No 2) 2014)

DateInForce: 2014-11-12

Act: Securities Act 1978

Company: Securities Act (Kiwi Income Property Trust) Exemption Notice (No 2) 2014

12 November 2014 Securities Act 1978 (Securities Act (Kiwi Property Group Limited) Exemption Notice 2014 )

DateInForce: 2014-11-12

Act: Securities Act 1978

Company: Securities Act (Kiwi Property Group Limited) Exemption Notice 2014

3 November 2014 Securities Act (Heartland Bank Regulatory Capital)

DateInForce: 2014-11-03

Act: Securities Act

Company: Heartland Bank Regulatory Capital

1 November 2014 Securities Act (Works Superannuation Scheme)

DateInForce: 2014-11-01

Act: Securities Act

Company: Works Superannuation Scheme

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