Expired exemptions

Found 513 results. Displaying page 3 of 35

1. 24 March 2021

   Financial Markets Conduct (US Futures Commission Merchants) Exemption Notice 2021

   Financial Markets Conduct (US Futures Commission Merchants) Exemption Notice 2021
2. 23 March 2021

   Financial Markets Conduct (Trustees Executors Limited) Exemption Notice 2021

   Financial Markets Conduct (Trustees Executors Limited) Exemption Notice 2021
3. 2 March 2021

   Financial Markets Conduct (Financial Adviser—Transition to Financial Services Legislation Amendment Act 2019) Exemption Notice 2021

   Financial Markets Conduct (ICAP Brokers Pty Limited and ICAP New Zealand Limited) Exemption Notice 2020.
4. 1 March 2021

   Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice 2021

   Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice 2021
5. 26 February 2021

   Financial Advisers (Personalised Digital Advice) Exemption Notice 2018

   The exemptions are granted to permit entities listed in schedule 1 of the notice to provide personalised services to retail clients when those services are provided through a digital advice facility. Read more.
6. 23 December 2020

   Financial Advisers (Overseas Custodians—Assurance Engagement) Exemption Notice 2018

   Financial Advisers (Overseas Custodians—Assurance Engagement) Exemption Notice 2018
7. 23 December 2020

   Financial Advisers (Overseas Custodians – Assurance Engagement) Exemption Amendment Notice 2020

   Financial Advisers (Overseas Custodians – Assurance Engagement) Exemption Amendment Notice 2020
8. 23 December 2020

   Financial Markets Conduct (Overseas Banks Offering Simple Debt Products) Exemption Amendment Notice 2020

   Financial Markets Conduct (Overseas Banks Offering Simple Debt Products) Exemption Amendment Notice 2020
9. 1 December 2020

   Financial Markets Conduct (FNZ Group) Exemption Notice 2020

   Financial Markets Conduct (FNZ Group) Exemption Notice 2020
10. 24 November 2020

    Financial Markets Conduct (US Futures Commission Merchants)

    Financial Markets Conduct (US Futures Commission Merchants) Exemption Notice 2015
11. 24 November 2020

    Financial Markets Conduct (Companies Being Wound Up – Debt Securities Allotted under Securities Act 1978) Exemption Notice 2017

    Financial Markets Conduct (Companies Being Wound Up – Debt Securities Allotted under Securities Act 1978) Exemption Notice 2017
12. 3 November 2020

    Financial Markets Conduct (Sharesies Limited) Exemption Notice 2020

    The Financial Markets Conduct (Sharesies Limited) Exemption Notice 2020 exempts Sharesies Limited and Sharesies Group Limited in relation to an offer of shares in Sharesies Group Limited to shareholders of Sharesies Limited under a proposed scheme of arrangement pursuant to Part 15 of the Companies Act 1993.
13. 30 September 2020

    Financial Advisers (Non-NZX Brokers-Client Money) Exemption Amendment Notice 2020

    This notice extends the 2017 notice that exempts non-NZX brokers, subject to certain conditions, from the requirement to hold client money and property separately from firm money.
14. 4 September 2020

    Financial Advisers (NZX Brokers-Client Money and Client Property) Exemption Notice 2020

    This notice continues to exempt NZX brokers, subject to certain conditions from the requirement to hold client money and property separately from firm money.
15. 29 July 2020

    Financial Markets Conduct (Booster Financial Services Limited) Exemption Notice 2020

    This notice exempts Booster Financial Services Limited (BFSL) and its nominated representatives from certain provisions of the Financial Markets Conduct Act 2013, in relation to the new financial advice regime. The effect of the notice is that BFSL is permitted to have nominated representatives under a transitional licence, and it and its nominated representatives have the benefit of the transitional regime’s competency safe harbour.