Expired exemptions

Found 503 results. Displaying page 4 of 34

1. 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.
2. 21 May 2020

   Financial Markets Conduct (Canterbury Mortgage Trust Group Investment Fund) Exemption Notice 2020

   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.
3. 12 May 2020

   Financial Markets Conduct (Overseas Registered Banks and Licensed Insurers) Exemption Notice 2020.

   The Financial Markets Conduct (Overseas Registered Banks and Licensed Insurers) Exemption Notice 2020 provides relief to overseas banks and insurers from certain financial reporting and audit obligations.
4. 6 May 2020

   Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice 2020

   Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice 2020
5. 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.
6. 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
7. 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.
8. 17 March 2020

   Financial Markets Conduct (Centuria Capital Group) Exemption Notice 2020

   Financial Markets Conduct (Centuria Capital Group) Exemption Notice 2020 - expired
9. 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).
10. 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
11. 1 December 2019

    Financial Markets Conduct Act 2013 (Insider Trading – Fonterra Co-operative Group Limited)

    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
12. 7 November 2019

    Financial Advisers Act (Broker Trust Accounts)

    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.