Document Library

NZX, as New Zealand’s only Registered Exchange, is an essential part of New Zealand’s financial markets. The General Obligations Review provides FMA with the opportunity to report on the adequacy of the arrangements NZX had in place to comply with its obligations during a particular review period, and to identify issues that, in FMA’s view, would assist NZX to ensure its continued compliance.

This notice allows for NZX to replace the NZ Markets Disciplinary Tribunal Rules dated 5 March 2013 with the NZ Markets Disciolinary Tribunal Rules dated 31 Jan 2014

Declaration to be completed by a current proposed senior manager of a licence applicant for all applications for roles under the FMC Act 2013.

Form to be completed with details of the Curriculum vitae of management team members of a licence applicant for all applications under the FMC Act 2013.

This 2014 document outlines the Financial Markets Authority’s (FMA’s) priorities for monitoring reporting entities under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).

Securities Act (Millennium & Copthorne Hotels New Zealand Limited and First Sponsor Group Limited) Exemption Notice 2014

This notice comes into force on 28 May 2014. The notice allows NZX to replace FSM Rules dated 14 May 2013 with FSM rules dated 1 April 2014