Expired exemptions

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

Financial Markets Conduct (FNZ Group) Exemption Notice 2020

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

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.

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

The Financial Markets Conduct (AxiCorp Financial Services Pty Ltd) Exemption Notice 2020 provides relief to AxiCorp Financial Services Pty Ltd (AxiCorp) from certain financial reporting and audit obligations of the FMC Act as well as the requirement in Schedule 6 of the FMC Regulations that the register entry for an offer of derivatives contains financial statements that comply with NZ GAAP and have been audited by a qualified auditor (as that term is defined in the FMC Act).

The Financial Markets Conduct (Canterbury Mortgage Trust Group Investment Fund) Exemption Notice 2020 exempts Canterbury Fund Managers Limited in respect of the Canterbury Mortgage Trust Group Investment Fund (Scheme) from requirements under the Financial Markets Conduct Act 2013 to prepare and submit audited financial statements in relation to the Scheme’s balance date of 31 March 2020. tion Notice 2020 grants an exemption in favour of small to medium-sized licensed providers of DIMS. It provides relief from certain financial reporting and audit obligations under the FMC Act.