Participant and Derivatives Guidance

Appendices

1. Appendix 11 - NXT Advisor Declaration

Guidance Notes

1. Trading Conduct (May 2021)
2. Prescribed Person Trading (April 2021)
3. GN 28.1.12.20 - Trading Conduct
4. GN 25.1.12.20 - NZX Adviser Designation
5. GN 26.1.12.20 - Prescribed Person Trading
6. GN0001/04 - Know Your Client: Section 9
7. GN0002/04 - Trading on Behalf of a Client
8. GN0003/04 - Capital Adequacy (Withdrawn)
9. GN0004/04 - Schedule of Registers, Records and Training
10. GN0005/04 - Delivery and Settlement (Withdrawn)
11. GN0006/04 - NZX Sponsors
12. GN0007/04 - Direct Full Time Control of Broking offices and Supervision of Advisors yet to be Accredited
13. Client Assets (December 2015)
14. GN0009/05 - One-Off Sales
15. GN0010/06 - Monthly ICC (Withdrawn)
16. GN0011/06 - Stands in the Market
17. GN0012/06 - Information Controls at NZX Market Participants
18. GN0013/07 - Conflict Management procedures
19. GN0014/07 - Compliance Monitoring Plans
20. GN0015/08 - Market Manipulation
21. GN0016/08 - Reporting Short Sales
22. GN0001/13 -Application of Rule 9.2.1 in an Initial Public Offer
23. Trading Conduct (January 2018)
24. NZX Adviser Designation (December 2017)
25. Prescribed Person Trading (December 2017)
26. NZX Adviser Designation (April 2018)
27. Client Assets (December 2017)
28. Stands in the Market (December 2017)
29. NZX Adviser Designation (December 2018)
30. Management Arrangements (December 2017)
31. Prescribed Person Trading (June 2018)
32. Conflict Management (January 2018)
33. Trading Conduct (March 2018)
34. Capital Adequacy (February 2018)
35. Capital Adequacy - Appendix 1 - GVBL Example (February 2018)
36. Capital Adequacy - Appendix 2 - Template (February 2018)
37. Client Communication Recording (January 2020)

Regulatory Notices

1. RN2014/01 - Hidden Orders

Practice Notes

1. PN 01/04 - Daily Liquidity Reporting (Withdrawn)
2. PN 02/05 Direct Market Access
3. PN 03/05 Client Agreements
4. PN 04/05 Waivers from and Rulings on the NZX Participant Rules
5. PN 05/05 - Ex Record Date Conversion (Withdrawn)
6. PN 06/05 - Client Funds for NZX Advising Firms (Withdrawn)
7. PN 07/08 Monthly ReportingFIXME: List not supported in table PN 07/08 - Capital Adequacy Template NZXMS PN 07/08 - Capital Adequacy Template CHO
8. PN 08/05 - Bank Reconcilliation Standards
9. PN 09/05 - Overdraft ReportingFIXME: List not supported in table PN 09/05 Overdraft Reporting Template
10. PN 10/05 - Training and Accreditation
11. PN 11/06 - Annual Reporting Return
12. Practice Note - Self-Match Prevention (March 2022)