Expired exemptions

Found 515 results. Displaying page 5 of 35

1. 22 October 2019

   Financial Markets Conduct Act (Masthead Joint Venture) Exemption Notice 2014

   This notice, which comes into force on 1 December 2014 and is revoked on 30 November 2019, exempts certain trustees 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. - expired
2. 22 October 2019

   Financial Markets Conduct (Obsidian Contributory Mortgage Scheme) Exemption Notice 2018

   Financial Markets Conduct (Obsidian Contributory Mortgage Scheme) Exemption Notice 2018 - expired
3. 30 September 2019

   Financial Markets Conduct (Insider Trading – Livestock Improvement Corporation Limited) Exemption Notice 2019

   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.
4. 15 August 2019

   Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice (No. 4) 2019

   The principal notice permits entities listed in Schedule 1 of the notice to provide personalised services to retail clients where those services are provided through a digital advice facility. This notice amends the principal notice to add Koura Wealth Limited (Koura) to that list of entities. Read more.
5. 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.
6. 25 July 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.
7. 19 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.
8. 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.
9. 27 June 2019

   Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice (No. 3) 2019

   The principal notice permits entities listed in Schedule 1 of the notice to provide personalised services to retail clients where those services are provided through a digital advice facility. This notice amends the principal notice to add Pinnacle Life Limited (Pinnacle) to that list of entities. Read more.
10. 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. Expired.
11. 7 May 2019

    Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice (No 2) 2019

    The principal notice permits entities listed in Schedule 1 of the notice to provide personalised services to retail clients where those services are provided through a digital advice facility. This notice amends the principal notice to add Sharesies Limited (Sharesies) to that list of entities. Read more.
12. 24 April 2019

    Financial Markets Conduct (Goldman Sachs) Exemption Notice 2019

    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.
13. 16 April 2019

    Financial Markets Conduct (RIS Group Limited) Exemption Notice 2019

    Financial Markets Conduct (RIS Group Limited) Exemption Notice 2019 exempts RIS Group Limited (RIS Group) from sections 461D and 461H(1) of the Financial Markets Conduct Act (Act) to an extent. Read more.
14. 5 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.
15. 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.