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Tribunal Decisions
2024
Geneva Finance Limited - NZMDT 1/2024 - 21 March 2024
- NZX Listing Rules 2.1.1(c), 2.13.2(b) and (c), and 3.8.1(a), (b) and (e)
- Public Censure
2023
TruScreen Group Limited - NZMDT 8/2023 - 15 December 2023
- NZX Listing Rule 2.13.2(b)
- Public Censure and Determination
Enprise Group Limited - NZMDT 6/2023 - 8 December 2023
- NZX Listing Rule 3.1.1
- Public Censure and Determination
CDL Investments New Zealand Limited - NZMDT 5/2023 - 3 November 2023
- NZX Listing Rules 2.13.2(b) and 3.8.1(b) and (d)
- Public Censure and Determination
Millennium & Copthorne Hotels New Zealand Limited - NZMDT 4/2023 - 3 November 2023
- NZX Listing Rules 2.13.2(b) and 3.8.1(b) and (d)
- Public Censure and Determination
2 Cheap Cars Group Limited - NZMDT 2/2023 - 3 October 2023
- NZX Listing Rules 2.1.1(c) and 2.13.2(c)
- Public Censure
- Determination at first instance
- Determination on appeal
Participant A - NZMDT 3/2023 - 21 September 2023
- NZX Participant Rules 3.13(a), 3.13(c), 4.5.1, 4.5.2, 4.5.5, 10.7.1 and 21.7.1
- Tribunal issued private reprimand
Hallenstein Glasson Holdings Limited - NZMDT 1/2023 - 21 July 2023
- NZX Listing Rules 2.6.3 and 2.13.2(c)
- Public Censure and Determination
2022
UBS New Zealand Limited - NZMDT 1/2022 - 18 November 2022
- NZX Participant Rule 19.1.1 and New Zealand Clearing Limited Clearing and Settlement Rule 9.1.1
- Public Censure
2021
QEX Logistics Limited – NZMDT 7/2021–11 January 2022
- NZX Listing Rules 3.1.1 and 3.20.1
- Public Censure and Determination
Blackwell Global Holdings Limited – NZMDT 4/2021 – 26 November 2021
- NZX Listing Rules 3.5.1 and 3.26.1
- Public Censure
Geneva Finance Limited – NZMDT 6/2021 – 17 November 2021
- NZX Listing Rule 3.1.1 and 3.26.2(c)
- Public Censure and Determination
QEX Logistics Limited – NZMDT 5/2021 – 4 October 2021
- NZX Listing Rule 3.1.1
- Public Censure
Jarden Securities Limited - NZMDT 3/2021 - 30 August 2021
- NZX Participant Rules 8.8.1, 10.2.2(a), (b) and (f), and 10.8.1(a)
- Public Censure
NZME Limited - NZMDT 1/2021 - 20 April 2021
- NZX Listing Rule 3.1.1 and 3.20.1
- Public Censure
NZME Limited - NZMDT 2/2021 - 20 April 2021
- NZX Listing Rule 3.1.1 and 3.2.1
- Public Censure
2020
Air New Zealand Limited - NZMDT 3/2020 - 18 December 2020
- NZX Listing Rule 3.1.1
- Public Censure
Tiger Brokers (NZ) Limited - NZMDT 2/2020 - 23 July 2020
- NZX Participant Rules 3.9, 8.1.1(c), 18.4.1, 18.4.2, 18.6.1(a)(i) and 18.6.1(b)
- Public Censure
- Determination
ASB Securities Limited – NZMDT 1/2020 – 27 May 2020
- NZX Participant Rules 4.5.5, 9.1.1(c), 10.6.1(d), 10.7.1 and 10.8.1(a)
- Public Censure
Cooks Global Foods Limited – NZMDT 9/2019 – 4 February 2020
- NZX Listing Rule 3.6.1
- Public Censure
- Determination
Geo Limited – NZMDT 10/2019 – 10 February 2020
- NZX Main Board Listing Rules 10.3.2, 10.4.2 and 10.5.1 (1 October 2017 version)
- Public Censure
Chatham Rock Phosphate Limited – NZMDT 8/2019 – 10 January 2020
- NZAX Listing Rule 5.1.7(c)
- Public Censure
- Determination
Enprise Group Limited – NZMDT 7/2019 – 10 January 2020
- NZX Listing Rule 3.6.1
- Public Censure
- Determination
2019
Participant B – NZMDT 6/2019 – 7 November 2019
- NZX Participant Rule 8.1.1, 8.8.1, 10.1.1 and 10.2.2
- Tribunal issued private reprimand
Good Spirits Hospitality Limited – NZMDT 5/2019 – 2 September 2019
- NZX Main Board Listing Rules 3.3.1(c) and 3.6.2(c) (dated 1 October 2017)
- Public Censure
Participant A – NZMDT 3/2019 – 27 June 2019
- Settlement not approved by Tribunal
Issuer A – NZMDT 4/2019 – 19 June 2019
- NZX Main Board Listing Rule 3.3.9
- Tribunal issued private reprimand
INTL FCStone Financial Inc – NZMDT 1/2019 – 9 April 2019
- New Zealand Clearing Limited Clearing and Settlement Rules 3.12.1 and 4.2.3 (1 December 2017 version) and New Zealand Clearing Limited Clearing and Settlement Procedures 3.13.2 and 4.2.2 (4 December 2017 version)
- Public Censure
- Macquarie Securities (NZ) Limited – NZMDT 2/2019 – 14 March 2019
- NZX Participant Rules 4.5.2, 10.8.1 and 10.14.9 (7 March 2016 version)
- Public Censure
2018
Craigs Investment Partners Limited – NZMDT 6/2018 – 24 October 2018
- NZX Participant Rules 3.9, 4.5.2, 10.8.1(a) and 10.14.9 (7 March 2016 version)
- Public Censure
First NZ Capital Securities Limited – NZMDT 7/2018 – 3 September 2018
- NZX Participant Rules 8.1.1(b)(iii), 8.8.1, 10.1.1, 10.2.2(a), 10.2.2(b) and 10.12.5 (7 March 2016 version)
- Public Censure
Participant A – Appeal – 21 August 2018
- Tribunal decision in NZMDT 2/2018 upheld
Participant A – NZMDT 2/2018 – 20 June 2018
- NZX Participant Rules 5.8.1 and 8.1.1 (7 March 2016 version)
- Tribunal issued private reprimand
Issuer B – NZMDT 5/2018 – 26 July 2018
- NZX Main Board Listing Rule 3.3.9
- Tribunal issued private reprimand
Issuer A – NZMDT 4/2018 – 27 June 2018
- NZX Main Board Listing Rule 10.1.1
- Tribunal issued private reprimand
Windflow Technology Limited – NZMDT 3/2018 – 11 May 2018
- NZAX Listing Rule 10.5.1
- Public Censure
- Determination
TruScreen Limited – NZMDT 1/2018 – 13 February 2018
- NZAX Listing Rule 3.2.1
- Public Censure
2017
Participant A - NZMDT 3/2017 - 22 December 2017
- NZX Derivatives Market Rules 4.4.1(c), 8.2.1(c), 8.3.2, 8.3.3 and 10.5.2
- Tribunal issued private reprimand
- Veritas Investments Limited - NZMDT 2/2017 – 19 October 2017
- NZX Main Board Listing Rule 10.1.1
- Public Censure
Issuer A - NZMDT 1/2017 – 1 September 2017
- NZX Main Board Listing Rule 10.1.1
- Tribunal issued private reprimand
2016
Clearing Participant - NZMDT 5/2016 – 8 December 2016
- Clearing and Settlement Rules 3.12.1 and 4.2.3
- Tribunal issued private reprimand
Pyne Gould Corporation Limited - NZMDT 4/2016 - 27 October 2016
- Appeal from NZMDT 3/2016
- Determination
Pyne Gould Corporation Limited - NZMDT 3/2016 - 27 September 2016
- NZX Main Board Listing Rules 3.3.1(c), 3.6.2(b), 3.6.2(c), 10.3.1(b), 10.4.1 and 10.4.2
- Determination
- Public Censure - periodic repo rting
- Public Censure - corporate governance
Market Participant A - NZMDT 2/2016 - 14 June 2016
- NZX Participant Rules 8.8.1 and 10.2.2
- Tribunal issued private reprimand
Macquarie Securities (NZ) Limited - NZMDT 1/2016 - 24 February 2016
- NZX Participant Rules 4.5.2, 8.8.1, 10.6.1(b) and 10.8.1
- Public Censure
2015
Market Participant E - NZMDT 13/2015 – 22 December 2015
- NZX Participant Rule 10.12.4
- Tribunal issued private reprimand
Issuer B - NZMDT 12/2015 – 30 November 2015
- NZX Main Board Listing Rule 7.12.1
- Tribunal issued private reprimand
Market Participant D - NZMDT 11/2015 – 29 September 2015
- Clearing and Settlement Rule 4.2.3
- Tribunal issued private reprimand
Issuer A - NZMDT 10/2015 – 7 October 2015
- NZX Main Board Listing Rule 7.12.1
- Tribunal issued private reprimand
Clearing Participant - NZMDT 9/2015 - 25 August 2015
- Clearing and Settlement Rule 4.2.3
- Tribunal issued private reprimand
Diligent Corporation - NZMDT 8/2015 - 26 June 2015
- NZX Main Board Listing Rule 3.3.1(b)
- Public Censure
Craigs Investment Partners Limited - NZMDT 6/2015 - 2 June 2015
- NZX Participant Rules 15.5 and 8.1.1(c)
- Public Censure
Market Participant C - NZMDT 5/2015 - 18 May 2015
- Clearing and Settlement Rule 4.2.3
- Tribunal issued private reprimand
Market Participant B - NZMDT 7/2015 - 20 May 2015
- NZX Participant Rule 3.13(c)
- Tribunal issued private reprimand
Market Participant A - NZMDT 4/2015 - 4 May 2015
- NZX Participant Rule 15.17.1 and 9.10.3
- Tribunal issued private reprimand
First NZ Capital Securities Limited - NZMDT 3/2015 - 22 April 2015
- NZX Participant Rules 10.15.2 and 8.8.1
- Determination
- Public Censure
Pyne Gould Corporation Limited - NZMDT 2/2015 - 7 April 2015
- NZX Main Board Listing Rules 3.3.1(c) and 3.6.2(c)
- Public Censure
RIS Group Limited - NZMDT 1/2015 - 1 April 2015
- NZAX Listing Rule 10.5.1
- Determination
- Public Censure
2014
Market Participant D - NZMDT 18/2014 - 20 January 2015
- NZX Participant Rule 15.17.1
- Tribunal issued private reprimand
Pyne Gould Corporation Ltd - NZMDT 16/2014 - 16 January 2015
- NZX Main Board Listing Rule 10.4.1
- Public Censure
Sealegs Corporation Ltd - NZMDT 17/2014 - 23 December 2014
- NZX Main Board Listing Rules 3.3.1(c), 3.6.2(b) and 3.6.2(c)
- Public Censure
Market Participant C - NZMDT 15/2014 – 19 November 2014
- NZX Participant Rule 15.17.1
- Tribunal issued private reprimand
Market Participant B - NZMDT 14/2014 – 19 November 2014
- NZX Participant Rule 15.17.1
- Tribunal issued private reprimand
Market Participant A - NZMDT 13/2014 – 19 November 2014
- NZX Participant Rule 15.17.1
- Tribunal issued private reprimand
BLIS Technologies Ltd - NZMDT 12/2014 - 1 December 2014
- NZX Main Board Listing Rules 10.1.1(a) and 10.1.1(b)
- Determination
- Public Censure
Pyne Gould Corporation Ltd - NZMDT 11/2014 - 11 November 2014
- NZX Main Board Listing Rule 3.3.1(b)
- Public Censure
Issuer C - NZMDT 10/2014 - 23 September 2014
- NZX Main Board Listing Rule 7.12.2
- Tribunal issued private reprimand
Diligent Board Member Services, Incorporated - NZMDT 9/2014 - 5 September 2014
- NZX Main Board Listing Rules 10.3.1(b), 10.4.1 and 10.4.2
- Public Censure
Marsden Maritime Holdings Ltd - NZMDT 8/2014 - 8 August 2014
- NZX Main Board Listing Rule 9.3.1
- Determination
- Public Censure
Issuer B - NZMDT 7/2014 - 2 July 2014
- NZDX Listing Rule 7.12.1
- Tribunal issued private reprimand
Issuer A - NZMDT 6/2014 - 11 July 2014
- NZX Main Board Listing Rule 7.12.1
- Tribunal issued private reprimand
Fonterra Co-operative Group Ltd - NZMDT 5/2014 - 12 June 2014
- Fonterra Shareholders' Market Rule 9.1.1
- Public Censure
KVB Kunlun New Zealand Ltd and Chee Joo (Jimmy) Koh - NZMDT 4/2014 - 9 October 2014
- Various NZX Participant Rules
- Public Censure of Chee Joo Koh
- Public Censure of KVB Kunlun New Zealand Ltd
Steel & Tube Holdings Ltd - NZMDT 3/2014 - 3 June 2014
- NZX Main Board Listing Rules 3.3.6, 10.6.1(d) and 10.6.1(e)
- Public Censure
Case Withdrawn by NZX – NZMDT 2/2014
Rakon Ltd - NMZDT 1/2014 - 24 February 2014
- NZX Main Board Listing Rule 10.1.1
- Determination
- Public Censure
2013
Vetilot Ltd - NZMDT 9/2013 – 17 January 2014
- NZX Main Board Listing Rule 10.5.1
- Determination
- Public Censure
NZF Group Ltd - NZMDT 8/2013 – 17 January 2014
- NZX Main Board Listing Rule 10.5.1
- Public Censure
Jasons Travel Media Ltd - NZMDT 7/2013 – 28 November 2013
- NZAX Listing Rules 3.2.1 and 10.7.1(d)
- Public Censure
Diligent Board Member Services, Incorporated - NZMDT 6/2013 – 6 September 2013
- Various NZX Main Board Listing Rules
- Public Censure
Energy Mad Ltd - NZMDT 5/2013 – 11 October 2013
- NZX Main Board Listing Rule 10.1.1
- Public Censure
Market Participant A - NZMDT 4/2013 – 14 May 2013
- NZX Participant Rule 15.17.1
- Public Censure
RIS Group Ltd - NZMDT 3/2013 – 1 March 2013
- NZAX Listing Rule 10.5.1
- Determination
- Public Censure
Insured Group Ltd - NZMDT 2/2013 – 1 March 2013
- NZX Main Board Listing Rule 10.5.1
- Public Censure
Savoy Equities Ltd – NZMDT 1/2013 – 6 March 2013
- NZX Main Board Listing Rules 3.3.1(c), 3.3.3(a), 3.6.2(c) and 6.1.1
- Public Censure
2012
NZX Advisor B - NZMDT 5/2012 – 7 December 2012
- NZX Participant Rules 5.8.1, 8.1.1, 10.5.1 and 10.5.3
- Public Censure
NZX Advisor A - NZMDT 4/2012 – 14 December 2012
- NZX Participant Rules 5.8.1, 8.1.1, 10.5.1 and 10.5.3
- Public Censure
Craigs Investment Partners Ltd - NZMDT 3/2012 – 9 July 2012
- NZX Participant Rules 4.5.2, 8.8, 10.2.2 and 10.8.1
- Determination
- Public Censure
Heritage Gold NZ Ltd - NZMDT 2/2012 – 26 April 2012
- NZSX Listing Rules 3.3.1(c) and 3.6.2(b)
- Determination
- Public Censure
Insured Group Ltd - NZMDT 1/2012 – 21 February 2012
- NZSX Listing Rules 10.5.1, 6.1.1 and 6.2.3
- Determination
- Public Censure
2011
RIS Group Ltd - NZMDT 4/2011 – 21 December 2011
- NZAX Listing Rules 3.2.1, 10.4.1 and 10.5.1
- Public Censure
Skellerup Holdings Ltd - NZMDT 3/2011 – 10 May 2011
- NZSX Listing Rules 3.3.1(c), 3.6.2(b) and 3.6.2(c)
- Public Censure
Forsyth Barr Ltd - NZMDT 2/2011 – 6 April 2011
- NZX Participant Rule 18.15.1
- No Public Censure
Forsyth Barr Ltd - NZMDT 1/2011 – 23 March 2011
- NZX Participant Rule 15.4.1(b)
- Public Censure