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FMA archives all exemptions after they expire as a helpful reference to those who may apply for an exemption in the future.
The Financial Markets Conduct (Financial Reporting – DIMS Licensees) Exemption 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.
Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice 2020
On 23 April 2020 the FMA granted the Financial Advisers (Custodian Assurance Engagement Relief – COVID-19) Exemption Notice 2020.
On 23 April 2020 the FMA granted the Financial Markets Conduct (Financial Reporting and Other relief – COVID-19) Exemption Notice 2020
The Notice exempts Imperium Markets Pty Limited from the requirement under section 310 of the FMC Act to have a licence to operate a financial product market in New Zealand, subject to conditions.
Financial Markets Conduct (UBT Invest NZ Funds) Exemption Notice 2020
Financial Markets Conduct (Restricted Schemes – Custodian Assurance Engagement) Exemption Notice 2020
Financial Markets Conduct (Centuria Capital Group) Exemption Notice 2020 - expired
On 25 February 2020, the FMA granted the Financial Markets Conduct (Vital Healthcare Property Trust Restructure – Disclosure) Exemption Notice 2020 (the Notice).
Financial Markets Conduct (Invion Limited) Exemption Notice (No 2) 2018 - expired on 2019-12-20
Financial Markets Conduct Act (Insider Trading – Fonterra Co-operative Group Limited) Exemption Notice 2014 expires on 30 November 2019 and replaced by the Financial Markets Conduct (Insider Trading – Fonterra Co-operative Group Limited) Exemption Notice 2019 from 1 December 2019. - expired
The Financial Markets Conduct (Disclosure of Relevant Interests by Directors and Senior Managers) Exemption Notice 2019 continues the relief granted in the Financial Markets Conduct (Disclosure of Relevant Interests by Directors and Senior Managers) Exemption Notice 2014, which is revoked at the close of 30 November 2019.
The Financial Markets Conduct (NZCDC Settlement System) Exemption Notice 2019 continues the relief granted in Financial Markets Conduct (NZCDC Settlement System) Exemption Notice 2014, which is revoked at the close of 30 November 2019.
Financial Advisers (Broker Trust Accounts) Exemption Revocation Notice 2011 - expired
The Financial Markets Conduct (Insider Trading – Fonterra Co-operative Group Limited) Exemption Notice 2019 is a renewal of the exemption granted under the Financial Markets Conduct (Insider Trading – Fonterra Co-operative Group Limited) Exemption Notice 2014 which expires on 30 November 2019.