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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 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.
Financial Advisers (Overseas Custodians—Assurance Engagement) Exemption Notice 2018
Financial Advisers (Overseas Custodians – Assurance Engagement) Exemption Amendment Notice 2020
Financial Markets Conduct (Overseas Banks Offering Simple Debt Products) Exemption Amendment Notice 2020
Financial Markets Conduct (FNZ Group) Exemption Notice 2020
Financial Markets Conduct (US Futures Commission Merchants) Exemption Notice 2015
Financial Markets Conduct (Companies Being Wound Up – Debt Securities Allotted under Securities Act 1978) Exemption Notice 2017
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.
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.
The Financial Markets Conduct (KiwiWRAP KiwiSaver Scheme) Exemption Notice 2020. Expired.
This notice continues to exempt NZX brokers, subject to certain conditions from the requirement to hold client money and property separately from firm money.
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.
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 notice exempts the Takeovers Panel (the Panel) from the substantial holding disclosure provisions of the Financial Markets Conduct Act 2013 (the FMC Act) in respect of any relevant interest in quoted voting products of a listed issuer that the Panel has, as the result of an enforceable undertaking. Expired.
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.