Expired exemptions

Financial Markets Conduct (Goldman Sachs) Exemption Notice 2019

Granting the exemption ensures that substantial holdings disclosed by the Goldman Sachs Group reflect the true positions held and does not mislead the market. Read more.

Financial Markets Conduct (RIS Group Limited) Exemption Notice 2019

Financial Markets Conduct (RIS Group Limited) Exemption Notice 2019 exempts RIS Group Limited (RIS Group) from sections 461D and 461H(1) of the Financial Markets Conduct Act (Act) to an extent. Read more.

Financial Markets Conduct (OnePath Custodians Pty Limited) Exemption Notice 2019

Financial Markets Conduct (OnePath Custodians Pty Limited) Exemption Notice 2019 is subject to the same terms and conditions as that in the 2016 Exemption Notice with the only changes being the expiry date being extended for a further 5 years from the date of this notice. Read more.

Financial Markets Conduct (Harbour Investment Funds) Exemption Notice 2019

Financial Markets Conduct (Harbour Investment Funds) Exemption Notice 2019 exempts Harbour Asset Management Limited (Harbour), the manager of the Harbour Investment Funds (Scheme) from clauses 53(1)(c)(viii), 53(1)(j), 54(1)(a)(i), 54(1)(d) and 70(1)(a)(i) of Schedule 4 of the Financial Markets Conduct Regulations 2014 (Regulations). Read more.

Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice 2019

Expired exemption: Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice 2019

Financial Markets Conduct (NZX–NXT Market) Exemption Amendment Notice 2018

Financial Markets Conduct (NZX–NXT Market) Exemption Amendment Notice 2018 amends the Financial Markets Conduct (NZX–NXT Market) Exemption Notice 2014 (the principal notice) to change the date on which the principal notice is revoked from 30 November 2019 to 30 June 2019. Read more.

Financial Markets Conduct (Same Class Offers ASX/NZX-Quoted Financial Products) Exemption Notice 2018

Financial Markets Conduct (Same Class Offers ASX/NZX-Quoted Financial Products) Exemption Notice 2018 exempts issuers from the disclosure and governance requirements in Parts 3 and 4 of the Financial Markets Conduct Act 2013 (the Act) in relation to offers of the same class as financial products that are quoted on ASX where the issuer has a secondary listing on a licensed market operated by NZX Limited. Expired.

Financial Markets Conduct (Todd Family Office Limited Financial Reporting) Exemption Notice 2018

Exemption Notice: Financial Markets Conduct (Todd Family Office Limited Financial Reporting) Exemption Notice 2018. Expire date: 2023-12-11

Financial Advisers (GT Nominees Limited) Exemption Notice 2016

Financial Advisers (GT Nominees Limited) Exemption Notice 2016 expired

Financial Markets Conduct (AMP New Zealand Personal Superannuation Fund) Exemption Notice 2018

Financial Markets Conduct (AMP New Zealand Personal Superannuation Fund) Exemption Notice 2018 comes into force on 29 November 2018 and is revoked on the close of 30 June 2019. Read more.

Financial Markets Conduct (Portfolio Superannuation Scheme) Exemption Notice 2018

Financial Markets Conduct (Portfolio Superannuation Scheme) Exemption Notice 2018 exempts Saturn Invest New Zealand Limited (Saturn) as manager of the Portfolio Superannuation Scheme (the self-select scheme) from some provisions of FMC Act. Read more.

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