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ICE Futures USA Financial Product Market Licence 2014

New Zealand Financial Product Market Licence (ICE Futures Europe) 2014

NZX NXT Financial Product Market Licence 2014

This cancelled licence granted NZX Limited authority to operate the NXT Market under the Financial Markets Conduct Act 2013, outlining conditions for market rules, SME targeting, investor risk warnings, and compliance with FMA and regulatory requirements. The licence was officially cancelled on 23 June 2021.

Review of market disclosures

Exemption Notice - Financial Markets Conduct Act Insider Trading Fonterra Co operative Group Limited

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

Exemption notice - Financial Markets Conduct Act Masthead Joint Venture

Financial Markets Conduct Act (Masthead Joint Venture) Exemption Notice 2014.

Exclusions under the Financial Markets Conduct Act 2013 FMC Act Summary of Schedule 1

Exclusions under the Financial Markets Conduct Act 2013 FMC Act Summary of Schedule 1. Published November 2014.

Financial regulation and registration requirements for marinas information sheet

The Financial Markets Conduct Act 2013 (FMC Act) changes the way interests in marinas are regulated. Marinas will generally not be regulated under the FMC Act and will no longer need to register on the Financial Service Providers Register. Published November 2014.

Exemption Notice - Securities Act Lloyds Banking Group

Securities Act Exemption Notice 2014: Lloyds Banking Group.

Securities Markets Act Main Board Debt Market Listing Rules Approval of Market Rules Notice 2014

FMA approval of NZX Main Board and Debt Market listing rules under the Securities Markets Act 1988, effective from 28 Nov 2014.

Exemption Notice 2014 - Financial Advisers (Australian Qualified Advisers)

Financial Advisers (Australian Qualified Advisers) Exemption Notice 2014

Exemption Notice - Securities Act Evolve Education Group Limited

This notice is the Securities Act (Evolve Education Group Limited) Exemption Notice 2014

Consultation paper personalised DIMS under the FA Act 2008

FMA consultation on minimum standards and new conditions for AFAs offering Personalised DIMS under the Financial Advisers Act 2008.

Declaration by senior manager of related body

This declaration should be completed by the the senior manager of a related body when applying for a market service licence. This is relevant to senior managers of crowd funding services; peer-to-peer; MIS managers; DIMS providers; Derivative issuers and independent trustees.

Declaration by individual relevant party such as owner

Declaration form to be completed by an individual relevant party such as an owner when applying for a market services licence under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) and disclosure is required by relevant parties, as defined in regulation 189 of the Financial Markets Conduct Regulations 2014 (Regulations).

Declaration by director of relevant party to license

Declaration form to be completed by director of a relevant party when the Applicant has applied for a market services licence under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) and disclosure is required by relevant parties, as defined in regulation 189 of the Financial Markets Conduct Regulations 2014 (Regulations).

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