Participant and Derivatives Guidance
Appendices
- Appendix 11 - NXT Advisor Declaration Unknown76.07 KB
- Appendix 13 - Market Maker Application DOCX83.43 KB
- Appendix 16 - FSM Participant or RMA Provider Application DOCX91.32 KB
- Appendix 17 - FSM Dealer Application DOCX87.71 KB
Guidance Notes
- Trading Conduct (February 2026) PDF749.94 KB
- Trading Conduct (May 2021)
- GN 28.1.12.20 - Trading Conduct PDF808.11 KB
- GN 25.1.12.20 - NZX Adviser Designation PDF573.50 KB
- GN 26.1.12.20 - Prescribed Person Trading PDF588.99 KB
- GN0001/04 - Know Your Client: Section 9 PDF303.42 KB
- GN0002/04 - Trading on Behalf of a Client PDF250.16 KB
- GN0003/04 - Capital Adequacy (Withdrawn)
- GN0004/04 - Schedule of Registers, Records and Training PDF301.71 KB
- GN0005/04 - Delivery and Settlement (Withdrawn)
- GN0006/04 - NZX Sponsors PDF108.94 KB
- GN0007/04 - Direct Full Time Control of Broking offices and Supervision of Advisors yet to be Accredited
- Client Assets (December 2015) PDF1.25 MB
- GN0009/05 - One-Off Sales PDF92.45 KB
- GN0010/06 - Monthly ICC (Withdrawn)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) PDF658.73 KB
- NZX Adviser Designation (December 2017) PDF460.19 KB
- Prescribed Person Trading (June 2023) PDF387.58 KB
- Prescribed Person Trading (April 2021) PDF1.07 MB
- Prescribed Person Trading (December 2017) PDF470.76 KB
- NZX Adviser Designation (April 2018) PDF460.42 KB
- Client Assets (December 2017) PDF795.38 KB
- Stands in the Market (December 2017) PDF387.48 KB
- NZX Adviser Designation (December 2018)
- Management Arrangements (December 2017) PDF430.30 KB
- Prescribed Person Trading (June 2018) PDF473.36 KB
- Conflict Management (January 2018) PDF491.41 KB
- Trading Conduct (March 2018) PDF659.67 KB
- Capital Adequacy (December 2020) PDF855.47 KB
- Capital Adequacy (February 2018) PDF735.84 KB
- Capital Adequacy - Appendix 1 - GVBL Example (February 2018) Unknown210.67 KB
- Capital Adequacy - Appendix 2 - Template (February 2018) Unknown160.44 KB
- Client Communication Recording (January 2020)
Regulatory Notices
- RN2020/12 - Hidden orders PDF215.68 KB
- RN2014/01 - Hidden Orders
Practice Notes
- Practice Note - C&S Agreements (Third-Party Clearing) PDF244.76 KB
- Self Match Prevention Practice Note - February 2025 PDF177.12 KB
- 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 Reporting
FIXME: 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 Reporting
FIXME: 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 PDF191.59 KB- March 2022