NZX Futures & Options Participants - 13 April 2006

NZX and the Securities Commission have recently issued a document in respect of the authorisation of futures and options dealers in New Zealand download it here or go to the Securities Commision website.

To order a printed copy of the NZX Futures & Options Rules, please contact us.

Download the NZX Futures and Options Rules:

         Contents (PDF 58KB)

  1. Definitions and Interpretation (PDF 83KB)
  2. Classes of Futures & Options Participants (PDF 39KB)
  3. Application and Designation (PDF 79KB)
  4. Business Conduct of all Futures & Options Participants (PDF 74KB)
  5. Business Conduct of Futures & Options Firms (PDF 41KB)
  6. Business Conduct of Futures & Options Advisors (PDF 32KB)
  7. Advising Clients (PDF 67KB)
  8. Accepting and Holding Client Funds (PDF 50KB)
  9. Placing Futures Orders and Facilitating Trades (PDF 98KB)
  10. Capital Adequacy (PDF 84KB)
  11. Accounts, Audits and Inspections (PDF 83KB)
  12. NZX Powers (PDF 58KB)

Appendices

  1. Appendix 1 - Firm application (Word 108KB)
  2. Appendix 2 - Directors and Partners statutory declaration (Word 66KB)
  3. Appendix 3 - Firm undertaking (Word 71KB)
  4. Appendix 4 - Compliance manager undertaking (Word 67KB)
  5. Appendix 5 - Futures and Options Firm IB application (Word 104KB)
  6. Appendix 6 - IB undertaking (Word 70KB)
  7. Appendix 7 - Advisor application (Word 86KB)
  8. Appendix 8 - Advisor statutory declaration (Word 71KB)
  9. Appendix 9 - Acknowledgement and risk disclosure (Word 69KB)
  10. Appendix 10 - Client agreements (Word 115KB)
  11. Appendix 11 - Trade agreements (Word 72KB)
  12. Appendix 12 - Post trade agreements (Word 67KB)
  13. Appendix 13 - Recognised associations (Word 66KB)
  14. Appendix 14 - Daily Liquid Capital Report (Word 156KB)
  15. Appendix 15 - Monthly Liquid Capital Report (Word 675KB)

Historical changes to NZX Futures & Options Rules

NZX Futures and Options Rules with changes marked up

Comparison tables


NZX Futures and Options guidance notes

15 April 2004

NZX has provided a guidance note for its regulation of non-New Zealand entities that are already regulated to deal in futures and options in their home jurisdiction.

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