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  6. 4 May 2023

    Financial Markets Conduct (Sharesies KiwiSaver Scheme) Exemption Notice 2023

    The Notice exempts Sharesies Investment Management Limited (Sharesies) as manager of the Sharesies KiwiSaver Scheme (Scheme), and the self-select fund in the Scheme (self-select fund) from certain provisions of the Financial Markets Conduct Act 2013 (the FMC Act) and the Financial Markets Conduct Regulations 2014 (the FMC Regulations), and the Financial Markets Conduct (Fees) Regulations 2014.
    Tags
    Exemptions, Business
    Type
    Page

  7. 18 December 2017

    Financial Markets Conduct (Financial Statements for Schemes Consisting Only of Separate Funds) Exemption Notice 2017

    The exemption granted by Financial Markets Conduct (Financial Statements for Schemes Consisting Only of Separate Funds) Exemption Notice 2017 exempts the manager of some schemes from the requirement to prepare financial statements for the scheme (as opposed to financial statements for each of the separate funds) provided the criteria in clause 5 are met.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  8. 2 February 2018

    Financial Markets Conduct (The Bank of New York Mellon) Exemption Notice 2018

    Under Financial Markets Conduct (The Bank of New York Mellon) Exemption Notice 2018 BNYM is exempted from sections 276 to 279 of the Act in respect of any relevant interest in a financial product that BNYM has as a result of an authority granted to it.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  10. 21 May 2020

    Financial Markets Conduct (Canterbury Mortgage Trust Group Investment Fund) Exemption Notice 2020

    The Financial Markets Conduct (Canterbury Mortgage Trust Group Investment Fund) Exemption Notice 2020 exempts Canterbury Fund Managers Limited in respect of the Canterbury Mortgage Trust Group Investment Fund (Scheme) from requirements under the Financial Markets Conduct Act 2013 to prepare and submit audited financial statements in relation to the Scheme’s balance date of 31 March 2020. tion Notice 2020 grants an exemption in favour of small to medium-sized licensed providers of DIMS. It provides relief from certain financial reporting and audit obligations under the FMC Act.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  15. 24 August 2022

    '5 mins with the FMA' podcast #2: Conduct of Financial Institutions (CoFI)

    FMA’s Director of Banking and Insurance Conduct, Clare Bolingford, talks about the Conduct of Financial Institutions (CoFI) regime in this FMA podcast.
    Tags
    Podcast, Financial Adviser, Banking, Insurance Providers, Roles, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Managed Investment Schemes, Business, Managed investment schemes, News & Insights
    Type
    Page, Podcast