Document Library

As a licensed market operator, NZX is required to meet certain general obligations imposed under section 314 of the Financial Markets Conduct Act 2013 (FMC Act). One of those obligations requires NZX to have sufficient technological resources to operate its licensed markets properly. This includes ensuring, to the extent reasonably practicable, the availability, security, capacity and maintenance of its trading platforms, settlement systems, internal market monitoring systems and other related systems.

Feedback form: consultation - review of wholesale investor exclusion

Financial Markets Conduct (Squirrel Investment Funds) Exemption Notice 2021

This document is the Disclose Register for MIS fund updates for 31 December 2020

High Court Judgment in the case against PTT Limited, Maxwell Foster Limited and Gibson Mcleod Limited, 18 December 2020.

This information sheet explains the FMA’s expectations in regards to how issuers of regulated products can comply with the prohibition on the notice of trusts being entered on the register that is required to be kept by the issuer.

The disclosure framework for integrated financial services guidance note 2020 is relevant to issuers of financial products that incorporate non-financial factors.