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  6. 23 October 2019

    Financial Markets Conduct (Obsidian Contributory Mortgage Scheme) Exemption Notice 2019

    Financial Markets Conduct (Obsidian Contributory Mortgage Scheme) Exemption Notice 2019 comes into force on 22 October 2019 and is revoked on 21 October 2024. This notice exempts Obsidian Group Limited (the Manager) from some provisions of the Financial
    Markets Conduct Regulations 2014 (the Regulations) and the Financial Markets Conduct Act
    2013 (the Act) in respect of the Obsidian Contributory Mortgage Scheme (the Scheme).
    Tags
    Exemptions, Business
    Type
    Page

  7. 1 April 2019

    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.
    Tags
    Exemptions, Business
    Type
    Page

  8. 4 April 2024

    Financial Markets Conduct Clearwater Golf Club Limited Exemption Notice 2024

    Clearwater Golf Club Limited (Clearwater) is exempted from Part 7 of the Financial Markets Conduct Act 2013 (the FMC Act). The Exemption Notice is subject to conditions which together replicate the financial reporting, auditing and annual reporting requirements under the Companies Act 1991.
    Tags
    Type
    PDF, Exemption notice

  10. 19 April 2024

    Financial Markets Conduct (Goldman Sachs) Exemption Notice 2024

    The Financial Markets Conduct (Goldman Sachs) Exemption Notice 2024 (Notice) exempts exempt entities (being the Goldman Sachs Group, Inc and its subsidiaries (each being a GS entity and together the Goldman Sachs Group) and any related body corporate of a GS entity) from the substantial product holder disclosure obligations in sections 276 to 279 of the Financial Markets Conduct Act 2013 (the FMC Act).
    Tags
    Exemptions, Business
    Type
    Page, Financial Markets Conduct Act exemptions, Current, Exemption notice

  12. 1 March 2024

    Financial Markets Conduct (Australian Licensees) Exemption Notice 2020

    Financial Markets Conduct (Australian Licensees) Exemption Notice 2020 (view the notice) will exempt certain Australian financial services licence holders and their representatives, on conditions, from certain requirements in the FMC Act that will apply when the new financial advice regime comes into force on 15 March 2021.
    Tags
    Exemptions, Business
    Type
    Page

  13. 21 November 2023

    Financial Markets Conduct (Portfolio Superannuation Scheme) Exemption Notice 2023

    The Notice exempts Saturn Invest New Zealand (Saturn) as manager of the Portfolio Superannuation Scheme (the self-select scheme) from certain provisions of the Financial Markets Conduct Act 2013 (the FMC Act), the Financial Markets Conduct Regulations 2014 (the FMC Regulations), and the Financial Markets Conduct (Fees) Regulations 2014.
    Tags
    Exemptions, Business
    Type
    Page, Current, Financial Markets Conduct Act exemptions, Exemption notice

  14. 20 June 2023

    Financial Markets Conduct (Market Index) Exemption Notice 2023

    This exemption provides relief to managed investment scheme (MIS) managers with funds that invest, in whole or in part, in assets that do not have an appropriate market index (relevant assets) and instead allows managers to take alternative approaches.
    Tags
    Exemptions, FMC Act, Legislation, Roles, Business, Managed investment schemes
    Type
    Page