Participant and Derivatives Guidance

Appendices

• Appendix 11 - NXT Advisor Declaration
• Appendix 13 - Market Maker Application

Guidance Notes

• Trading Conduct (March 2024)
• Trading Conduct (May 2021)
• Prescribed Person Trading (April 2021)
• GN 28.1.12.20 - Trading Conduct
• GN 25.1.12.20 - NZX Adviser Designation
• GN 26.1.12.20 - Prescribed Person Trading
• GN0001/04 - Know Your Client: Section 9
• GN0002/04 - Trading on Behalf of a Client
• GN0003/04 - Capital Adequacy (Withdrawn)
• GN0004/04 - Schedule of Registers, Records and Training
• GN0005/04 - Delivery and Settlement (Withdrawn)
• GN0006/04 - NZX Sponsors
• GN0007/04 - Direct Full Time Control of Broking offices and Supervision of Advisors yet to be Accredited
• Client Assets (December 2015)
• GN0009/05 - One-Off Sales
• GN0010/06 - Monthly ICC (Withdrawn)
• GN0011/06 - Stands in the Market
• GN0012/06 - Information Controls at NZX Market Participants
• GN0013/07 - Conflict Management procedures
• GN0014/07 - Compliance Monitoring Plans
• GN0015/08 - Market Manipulation
• GN0016/08 - Reporting Short Sales
• GN0001/13 -Application of Rule 9.2.1 in an Initial Public Offer
• Trading Conduct (January 2018)
• NZX Adviser Designation (December 2017)
• Prescribed Person Trading (December 2017)
• NZX Adviser Designation (April 2018)
• Client Assets (December 2017)
• Stands in the Market (December 2017)
• NZX Adviser Designation (December 2018)
• Management Arrangements (December 2017)
• Prescribed Person Trading (June 2018)
• Conflict Management (January 2018)
• Trading Conduct (March 2018)
• Capital Adequacy (February 2018)
• Capital Adequacy - Appendix 1 - GVBL Example (February 2018)
• Capital Adequacy - Appendix 2 - Template (February 2018)
• Client Communication Recording (January 2020)

Regulatory Notices

• RN2014/01 - Hidden Orders

Practice Notes

• PN 01/04 - Daily Liquidity Reporting (Withdrawn)
• PN 02/05 Direct Market Access
• PN 03/05 Client Agreements
• PN 04/05 Waivers from and Rulings on the NZX Participant Rules
• PN 05/05 - Ex Record Date Conversion (Withdrawn)
• PN 06/05 - Client Funds for NZX Advising Firms (Withdrawn)
• PN 07/08 Monthly ReportingFIXME: List not supported in table PN 07/08 - Capital Adequacy Template NZXMS PN 07/08 - Capital Adequacy Template CHO
• PN 08/05 - Bank Reconcilliation Standards
• PN 09/05 - Overdraft ReportingFIXME: List not supported in table PN 09/05 Overdraft Reporting Template
• PN 10/05 - Training and Accreditation
• PN 11/06 - Annual Reporting Return
• Practice Note - Self-Match Prevention- March 2022