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Participant Rules Archive
1 January 2020
NZX Participant Rules (1 January 2020)
3 November 2020
NZX Listing Rules (3 November 2020)
1 July 2019
NZX Participant Rules (1 July 2019)
8 October 2018
NZX Participant Rules (8 October 2018)
1 December 2017
NZX Participant Rules (1 December 2017)
NZX Participant Rule Procedures (1 December 2017)
7 March 2016
NZX Participant Rules (7 March 2016)
NZX Participant Procedures (26 September 2014)
1 December 2015
NZX Participant Rules (1 December 2015)
16 April 2015
NZX Participant Rules (16 April 2015)
September 2014
NZX Participant Procedures (12 September 2014)
NZX Participant Rules (26 September 2014)
November 2013
NZX Participant Rules (8 November 2013)
May 2004 to 1 March 2007
Definitions and administration
Summary of rules for market participants and FASTER registries
Delivery and settlement participants
General obligations of all market participants and advisors
Accounting, audit and surveillance
Appendices
Appendix 1 - Market participant application form
Appendix 1A - Managing Principal - Statutory Declaration
Appendix 1(a) - Responsible executive application form
Appendix 1B - Responsible Executive - Application Form
Appendix 1C - Responsible Executive - Statutory Declaration
Appendix 1D - Directors / Partners Statutory Declaration
Appendix 1E - Compliance Manager - Undertaking
Appendix 1F - Surveillance Officer - Undertaking
Appendix 2 - Dealer / DMA Dealer - Application Form
Appendix 2A - Dealer /DMA Dealer - Statutory Declaration
Appendix 2(a) - Managing principal - statutory declaration
Appendix 2B - Undertaking from Trading Partner for Dealer / DMA Dealer
Appendix 2(b) - Responsible executive - statutory declaration
Appendix 2C - Dealer / DMA Dealer - Designation of Access Rights
Appendix 2D - Trading System - Firm Manager and Enquiry Access
Appendix 2E - Dealer /DMA Dealer - Application for Removal
Appendix 3 - NZX Associate Advisor / NZX Advisor - Application Form
Appendix 3 - Directors/partners statutory declaration
Appendix 3A - NZX Associate Advisor / NZX Advisor - Statutory Declaration
Appendix 3B - NZX Associate Advisor / NZX Advisor - Undertaking from Market Participant
Appendix 3C - NZDX Advisor- Application Form
Appendix 3D - NZDX Advisor - Statutory Declaration
Appendix 3D - NZDX Advisor - Statutory Declaration
Appendix 3E - NZDX Advisor - Undertaking from Market Participant
Appendix 4 - Compliance manager of market participant - Undertaking
Appendix 5 - Surveillance officer of market participant - Undertaking
Appendix 6 - FASTER Dealer/FASTER DMA Dealer application form
Appendix 6A - Authority to Act (excluding Distribution and Underwriting)
Appendix 6a - FASTER Dealer/FASTER DMA Dealer – Designation of Access Rights
Appendix 6a(i) - FASTER Trading - Enquiry_Firm Manager Access
Appendix 6B - Authority to Act - Distribution and Underwriting
Appendix 6b - FASTER Dealer/FASTER DMA Dealer – Application for NZX Removal
Appendix 6C - NXT Advisor - Declaration
Appendix 7 - Market Maker Application Form
Appendix 7 - Statutory declaration - NZX FASTER Dealers/FASTER DMA Dealers
Appendix 8 - Arbitrageur Application Form
Appendix 8 - Written undertaking from trading participant for NZX FASTER Dealer/FASTER DMA Dealer
Appendix 9 - Minimum requirement for a post-trade agreement
Appendix 10 - Direct Market Access Participant Application Form
Appendix 10 - NZDX Advisor application form
Appendix 11 - NZX Trainer Application Form - Trading
Appendix 11 - NZDX Advisor - statutory declaration
Appendix 11A - Written Undertaking from Market Participant for NZX Trainer
Appendix 11B - NZX Trainer - Notification of Resignation
Appendix 12 - Written undertaking from market participant in the NZDX Market
Appendix 12A - FSM Participant/RMA Provider Application Form
Appendix 12B - FSM Dealer/FSM DMA Dealer Application Form
Appendix 13 - NZX Advisor/NZX Associate Advisor application form
Appendix 14 - NZX Associate Advisor/NZX Advisor statutory declaration
Appendix 15 - FASTER Settlement Officer application form
Appendix 15a - FASTER SETTLEMENT OFFICER – Designation of Access Rights
Appendix 15a(i) - FASTER Settlement Other Access Rights
Appendix 15b - FASTER SETTLEMENT OFFICER – Application for NZX Removal
Appendix 16 - FASTER Settlement Officer - statutory declaration
Appendix 18 - Authority to act
Appendix 19 - Market maker application form
Appendix 20 - Arbitrageur application form
Appendix 21 - FASTER Registry application form
Appendix 22 - Directors/partners undertaking
Guidance Notes
GN0001/04 - Know Your Client: Section 9
GN0002/04 - Trading on Behalf of a Client
NZX FF1&2 - Monthly Reporting (Trial Balance Summary and Liquidity and Equity Statement)
NZX FF3 - Summary Report
NZX FF4 - Daily Underwriting
GN0004/04 - Schedule of Registers, Records and Training
GN0005/04 - Delivery and Settlement
GN0006/04 - NZX Sponsor Declaration/Certificate
NZX ICC Template
GN0011/06 - Stands in the Market
GN0012/06 - Information Controls at NZX Market Participants
Practice Notes
PN 01/04 - Daily Liquidity Reporting
PN 02/05 - Direct Market Access
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
PN 08/05 - Bank Reconciliation Standards
PN 09/05 - Overdraft Reporting
PN 09/05 - Overdraft Reporting Template
PN 10/05 - FASTER Training and Accreditation
PN 11/06 - Annual Reporting Return
Business Notes
The Business Rules and Regulations have been replaced by the NZX Participant Rules.