Financial Advisers Act exemptions guidance note

This 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.

Download the Financial Advisers Act exemptions guidance note, PDF