NZ RegCo

In this section you will find information about:

  • the legislative framework that applies to NZX as an operator of securities markets
  • regulation of the exchange and
  • NZX's approach to managing potential conflicts and ensuring quality regulatory outcomes.

NZX is responsible for monitoring and enforcing the rules under which NZX's markets operate. This applies directly to issuers, market participants and indirectly (through market participants) to investors. This function is undertaken by NZ RegCo, an independently governed entity, led by NZ RegCo Chief Executive Officer Joost van Amelsfort.

NZX is also responsible for developing and enhancing the market rules, practices and policies under which NZX's markets operate. This function is undertaken by the NZX Policy team, led by Head of Policy & Regulatory Affairs, Kristin Brandon.

NZX Rules and Guidance

NZX sets the rules for trading on its markets. NZX's rules and guidance notes, along with the archived versions of those documents can be found in this section.

Please click on the quick link below to view NZX's current rules and guidance notes:

NZ Markets Disciplinary Tribunal

The NZ Markets Disciplinary Tribunal contributes to the operation of the markets as an independent disciplinary body. The tribunal makes determinations on enforcement matters referred to it by NZ RegCo. Information about the NZ Markets Disciplinary Tribunal can be found here.