Document Library

This notice allows NZX to replace the NZX Issuer Rules, dated 1 January 2016, with the corresponding amended rules with effect from 1 January 2020 or as otherwise determined by NZX in accordance with the Participant Rule 1.4.1

This report summarises our monitoring activities from 1 July 2016 to 30 June 2018, to help reporting entities better understand our expectations, and what they can do to improve their systems and processes to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 and its supporting regulations.

This document is the Disclose Register for MIS fund updates for 31 March 2019

NZICA decision on Michael Derek Wood details 2019 ethics breach in audit review role, resulting in reprimand & cost order.

OIA, dated 22/03/2019, regarding complaints made to the FMA about Authorised Financial Advisers and Registered Financial Advisers over the last five years

Judgment of the Court of Appeal in the case against ANZ Bank New Zealand Limited, 5 March 2019.

High Court case verdicts and reasons in the case against Paul Bublitz, Bruce McKay and Richard Blackwood, February 2019.