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Running an exchange is in reality about running well regulated businesses. As the frontline regulator of the markets, NZX works closely with the Securities Commission to enhance and optimise the regulatory environment in New Zealand. The goal: a transparent and efficient marketplace designed to protect investors, provide a cost-effective means of raising capital and facilitate growth for participants. We regulate listed companies as well as market participants – issuing our brand to those that meet the standards we set. And we monitor their performance to ensure confidence and integrity are maintained.
To learn more view the Regulation section.
To find out more about listing on an NZX market, visit;
Accreditation
NZX Regulation operates an accreditation programme based on the requirements of the NZX Participant Rules. These rules govern the conduct of Market Participants (e.g. trading and advising firms, delivery and settlement participants, NZX Sponsors, individual advisors and dealers).
As part of the accreditation process firms and individuals are obliged provide evidence to NZX that they can and are meeting the requirements of these rules.
For firms these requirements include (but are not limited to) liquid capital and reporting requirements, operational and compliance procedures, systems, control and management requirements.
For individuals such as Advisors (NZX Associate Advisor, NZX Advisor, NZDX Advisor) this includes supplying evidence to NZX that the applicant has met the minimum experience and qualification requirements. For more information on NZX Advisor accreditation, visit the education section.
For individual Dealers and Settlement Officers this includes supplying evidence to NZX that the applicant has met the minimum experience and qualification requirements and has also undertaking appropriate systems training. All Market Participants must meet the applicable standards of the NZX Participant Rules prior NZX approval.Monitoring and Surveillance
Once approved, the ongoing conduct of Market Participants is monitored by NZX Regulation by way of daily supervision, Daily and Monthly Reporting, Trading surveillance, Delivery and Settlement surveillance and day to day direct contact. For more information on please contact compliance@nzx.com
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