Expired exemptions

Found 517 results. Displaying page 4 of 35

1. 23 April 2020

   Financial Advisers (Custodian Assurance Engagement Relief – COVID-19) Exemption Notice 2020

   On 23 April 2020 the FMA granted the Financial Advisers (Custodian Assurance Engagement Relief – COVID-19) Exemption Notice 2020.
2. 23 April 2020

   Financial Markets Conduct (Financial Reporting and Other 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
3. 20 April 2020

   Financial Markets Conduct (Imperium Markets Pty Limited) 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.
4. 27 March 2020

   Financial Markets Conduct (UBT Invest NZ Funds) Exemption Notice 2020

   Financial Markets Conduct (UBT Invest NZ Funds) Exemption Notice 2020
5. 19 March 2020

   Financial Markets Conduct (Restricted Schemes – Custodian Assurance Engagement) Exemption Notice 2020

   Financial Markets Conduct (Restricted Schemes – Custodian Assurance Engagement) Exemption Notice 2020
6. 17 March 2020

   Financial Markets Conduct (Centuria Capital Group) Exemption Notice 2020

   Financial Markets Conduct (Centuria Capital Group) Exemption Notice 2020 - expired
7. 27 February 2020

   Financial Markets Conduct (Vital Healthcare Property Trust Restructure – Disclosure) Exemption Notice 2020.

   On 25 February 2020, the FMA granted the Financial Markets Conduct (Vital Healthcare Property Trust Restructure – Disclosure) Exemption Notice 2020 (the Notice).
8. 13 December 2019

   Financial Markets Conduct (Invion Limited) Exemption Notice (No 2) 2018

   Financial Markets Conduct (Invion Limited) Exemption Notice (No 2) 2018 - expired on 2019-12-20
9. 1 December 2019

   Financial Markets Conduct (Disclosure of Relevant Interests by Directors & Senior Managers) Exemption Notice 2019

   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.
10. 1 December 2019

    Financial Markets Conduct Act (Insider Trading – Fonterra Co-operative Group Limited) Exemption Notice 2014

    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
11. 29 November 2019

    Financial Markets Conduct (NZCDC Settlement System) Exemption Notice 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.
12. 7 November 2019

    Financial Advisers (Broker Trust Accounts) Exemption Revocation Notice 2011

    Financial Advisers (Broker Trust Accounts) Exemption Revocation Notice 2011 - expired
13. 5 November 2019

    Financial Markets Conduct (Insider Trading – Fonterra Co-operative Group Limited) Exemption Notice 2019

    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.
14. 25 October 2019

    Financial Markets Conduct (trueEX LLC) Exemption Notice 2018

    The Financial Markets Conduct (trueEX LLC) Exemption Revocation Notice 2019 revokes the Financial Markets Conduct (trueEX LLC) Exemption Notice 2018 which exempted trueEX from having to be licenced to provide a financial product market. This exemption revoking the earlier exemption has been granted on the request of trueEX as it is no longer operating the financial product market. Expired
15. 25 October 2019

    Financial Markets Conduct (trueEX LLC) Exemption Revocation Notice 2019

    The Financial Markets Conduct (trueEX LLC) Exemption Revocation Notice 2019 revokes the Financial Markets Conduct (trueEX LLC) Exemption Notice 2018 which exempted trueEX from having to be licenced to provide a financial product market. This exemption revoking the earlier exemption has been granted on the request of trueEX as it is no longer operating the financial product market.