Securities Act Exemption Notices

Notices that are currently in force are listed below with their expiry dates.

This list is updated regularly, however if you are waiting for a new notice you should check the New Zealand Gazette which is published every Thursday.

Exemption notices are published at www.legislation.govt.nz. Select Statutory Regulations and scroll to Securities Act or Financial Reporting Act, as applicable, for all Securities Commission exemption notices.

Between 1999 and July 2005 the Commission published summaries of new exemptions granted which explained in business language the effects of the exemption and the reasons it was granted.

Click here for the list as a Word document

A - D  |  E - Q  |  R - Z

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		SR	Expiry
Securities Act (ABN AMRO Australia Pty Limited)
	Exemption Notice 2007	2007/341	16/11/2012
Securities Act (ABN AMRO Equity Derivatives New Zealand Limited)
	Exemption Notice 2005	2005/85	31/03/2010
	Amendment Notice 2008	2008/78
Securities Act (ABN AMRO Equity Derivatives New Zealand Limited)
	Exemption Notice 2006	2006/5	31/03/2010
Securities Act (Advertisements Containing Investment Advice)
	Exemption Notice 2002 (Summary)	2002/294	30/09/2012
Securities Act (Alpine Dairy Products Limited)
	Exemption Notice 1993	1993/113	No expiry
Securities Act (Alpine Pacific Developments Limited)
	Exemption Notice 2005	2005/201	31/07/2010
Securities Act (Amalgamations)
	Exemption Notice 2002 (Summary)	2002/328	30/09/2012
	Amendment Notice 2004 (Summary)	2004/49
	Amendment Notice 2007	2007/79
Securities Act (Amendments to Exemption Notices Affecting Investment Adviser Information)
	Exemption Notice 2008	2008/60	No Expiry
Securities Act (American International Assurance Company (Bermuda)
	Exemption Notice 2009	2009/154	31/05/2014
Securities Act (AMP/Ergo Mortgage and Savings Limited)
	Exemption Notice 1996	1996/287	No expiry
Securities Act (Asian Development Bank)
	Exemption Notice 2009	2009/122	31/03/2014
Securities Act (Assure New Zealand Limited)
	Exemption Notice 2002 (Summary)	2002/346	30/09/2012
	Amendment Notice 2007	2007/287
Securities Act (Audiovisual Advertisements)
	Exemption Notice 2002	2002/289	30/09/2012
Securities Act (Australian Issuers)
	Exemption Notice 2002 (Summary)	2002/314	30/09/2012
	Amendment Notice 2004	2004/370
Securities Act (Australian Registered Managed Investment Schemes)
	Exemption Notice 2008	2008/327	30/09/2013
Securities Act (Australian Unit Trusts)
	Exemption Notice 2005	2005/215	30/06/2010
Securities Act (Authorised Futures Contracts)
	Exemption Notice 2002 (Summary)	2002/295	30/09/2012
	Amendment Notice 2009	2009/336
Securities Act (Babcock & Brown Infrastructure Limited and Babcock & Brown Investor Services Limited)
	Exemption Notice 2009	2009/303	30/11/2010
Securities Act (Banks)
	Exemption Notice 2002 (Summary)	2002/305	30/09/2012
Securities Act (Belgrave First Management Limited and Covenant Trustee Company Limited
	Exemption Notice 2006	2006/314	31/10/2011
	Amendment Notice 2007	2007/200
Securities Act (Bloodstock)
	Exemption Notice 2002	2002/303	30/09/2012
Securities Act (Braemar Lodge 2004 Limited)
	Exemption Notice 2005	2005/202	31/07/2010
Securities Act (Brambles Limited)
	Exemption Notice 2006	2006/364	31/12/2011
Securities Act (Building Societies)
	Exemption Notice 2002	2002/319	30/09/2012
	Amendment Notice 2007	2007/279
Securities Act (Cadbury Schweppes Public Limited Company)
	Exemption Notice 2008	2008/66	31/03/2009
Securities Act (Calibre Asset Services Limited)
	Exemption Notice 2008	2008/444	31/12//2013
Securities Act (Carbon Logic Limited)
	Exemption Notice 2007	2007/93	31/03/2011
Securities Act (Cash and Term Portfolio Investment Entities)
	Exemption Notice 2009	2009/302	31/10/2014
Securities Act (Certificates for Securites Transferred Electronically)
	Exemption Notice 2003 (Summary)	2003/148	30/09/2012
	Amendment Notice 2008	2008/161
Securities Act (Charitable and Religious Purposes)
	Exemption Notice 2003	2003/66	30/11/2012
	Amendment Notice 2003 (Summary)	2003/109
	Amendment Notice 2007	2007/94
	Amendment Notice 2009	2009/171
Securities Act (Citibank N.A)
	Exemption Notice 1993	1993/223	No expiry
Securities Act (CMP Canterbury Limited)
	Exemption Notice 2005	2005/216	31/07/2010
Securities Act (Commercial Bill Dealers)
	Exemption Notice 2002 (Summary)	2002/297	30/09/2012
Securities Act (Commonwealth Bank of Australia)
	Exemption Notice 2005	2005/89	31/12/2015
Securities Act (Contact Energy Limited)
	Exemption Notice 2003	2003/310	31/10/2013
	Amendment Notice 2008	2008/419
Securities Act (Continuous Debt Issues)
	Exemption Notice 2002 (Summary)	2002/296	30/09/2012
Securities Act (Contributory Mortgage Brokers)
	Exemption Notice 1983	1983/187	30/09/2012
	Exemption Amendment Notice 2007	2007/266
Securities Act (Contributory Mortgage Regulations (Solicitors))
	Exemption Notice 1996	1996/13	30/09/2012
Securities Act (Co-operative Companies)
	Exemption Notice 2002	2002/403	30/11/2012
Securities Act (Credit Agricole S.A)
	Exemption Notice 2008	2008/159	30/06/2013
Securities Act (Credit Unions)
	Exemption Notice 2010	2010/2	31/01/2015
Securities Act (Crown Wholesale Debt Securities)
	Exemption Notice 2004	2004/264	31/08/2014
	Amendment Notice 2009	2009/224
Securities Act (Dairy equity Limited)
	Exemption Notice 2006	2006/220	31/07/2011
Securities Act (Deutsche Bank Aktiengesellschaft)
	Exemption Notice 2009	2009/301	30/09/2014
Securities Act (Directors' Certificates-Collective Investment Schemes)
	Exemption Notice 2009	2009/417	30/09/2011
Securities Act (Divident Reinvestment)
	Exemption Notice 1998	1998/293	30/09/2010
	Exemption Notice 2000	2000/192
	Exemption Notice 2005	2005/275