1. Compliance
  2. Guidance library
  3. Financial Advisers Act exemptions guidance note

Financial Advisers Act exemptions guidance note

Page last updated: 1 Dec 2014

Exemptions: Financial Advisers Act 2008This guidance note is for - Financial Advisers, QFEs, Legal Counsel, Auditors, Senior Executives, Supervisors, Trustees, Risk Officers, Compliance Officers, Company Directors. It explains the approach of the Financial Markets Authority (the FMA) to granting exemptions under the Financial Advisers Act 2008. It is intended to provide answers to commonly asked questions in relation to exemptions and to provide information to potential applicants on the process for making an application.