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Found 1596 results. Displaying page 22 of 107

  1. 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

  2. 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

  3. 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

  5. 9 May 2024

    Financial Markets Conduct (Abacus Storage King) Exemption Notice 2024

    The Financial Markets Conduct (Abacus Storage King) Exemption Notice 2024 (Notice) exempts Abacus Storage Operations Limited (ASOL) and Abacus Storage Property Trust (the Trust) (together the issuers), and Abacus Storage Funds Management Limited (ASFML) (as responsible entity for the Trust under Australian law) from compliance with the disclosure requirements in Part 3 of the Financial Markets Conduct Act 2013 Act (Act)
    Tags
    Exemptions, Business
    Type
    Page

  6. 9 May 2024

    Financial Markets Conduct Abacus Storage King Exemption Notice 2024

    The Financial Markets Conduct (Abacus Storage King) Exemption Notice 2024 (Notice) exempts Abacus Storage Operations Limited (ASOL) and Abacus Storage Property Trust (the Trust) (together the issuers), and Abacus Storage Funds Management Limited (ASFML) (as responsible entity for the Trust under Australian law) from compliance with the disclosure requirements in Part 3 of the Financial Markets Conduct Act 2013 Act (Act), and exempts the Trust and ASFML from compliance with the governance requirements for managed investment schemes in Part 4 of the Act. The exemptions apply only to offers of stapled securities (each consisting of a share in ASOL and a unit in the Trust) which are made under an employee security plan established by the issuers to certain eligible persons in New Zealand (Abacus Storage King ESP).
    Tags
    Type
    PDF, Exemption notice

  10. 22 December 2023

    CBL Corporation and four independent directors ordered to pay penalties for conduct including reckless and careless breaches of the Financial Markets Conduct Act

    The High Court has ordered CBL Corporation Limited (CBLC) and four of its former directors to pay penalties for continuous disclosure and misleading conduct breaches following proceedings brought by the FMA under the Financial Markets Conduct Act 2013.
    Tags
    Media release, Enforceable undertaking, Powers, Financial Institutions, Business, News & Insights, Enforcement
    Type
    Page

  11. 14 June 2024

    Financial Institutions

    A financial institution is a registered bank, licensed insurer, or licensed non-bank deposit taker (NBDT) that is in the business of providing one or more relevant services. View more about the licensing of Financial Institutions on this page.
    Tags
    Financial Institutions, Banking, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Managed Investment Schemes, Roles, Business, Managed investment schemes
    Type
    Page