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  1. 1 January 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.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  4. 15 October 2021

    The Financial Markets Conduct (Overseas Banks Offering Simple Debt Products) Exemption Notice 2021

    The Financial Markets Conduct (Overseas Banks Offering Simple Debt Products) Exemption Notice 2021 provides applies to banks that are licensed, registered, or otherwise authorised to carry on banking business in certain overseas jurisdictions that have been determined by the FMA to have regulatory oversight standards that are broadly equivalent to those that apply in New Zealand and that have signed the International Organization of Securities Commissions Multilateral Memorandum of Understanding.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  5. 18 June 2014

    FMA releases guide to help smaller financial adviser businesses with the licensing process for DIMS

    Following changes to the regulation of Discretionary Investment Management Services (DIMS) announced Monday 16 June, by Commerce Minister, Craig Foss, the Financial Markets Authority (FMA) has released a guide to help advisers and small businesses who want to apply for a licence to provide DIMS under the Financial Markets Conduct Act
    Tags
    Discretionary investment management scheme (DIMS), Media release, Roles, Business, News & Insights
    Type
    Page, Guidance

  7. 27 June 2019

    Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice (No. 3) 2019

    The principal notice permits entities listed in Schedule 1 of the notice to provide personalised services to retail clients where those services are provided through a digital advice facility. This notice amends the principal notice to add Pinnacle Life Limited (Pinnacle) to that list of entities. Read more.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  8. 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
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page