NZX Derivatives Market Rule Amendment
NZX Limited
Level 1, NZX Centre
11 Cable Street
PO Box 2959
Wellington 6140
New Zealand
Tel +64 4 472 7599
www.nzx.com
www.nzx.com 1 of 1
29 March 2021
Notification of amendment to NZX Derivatives Market Rules: Conformance
Amendments
NZX gives notice of amendments to the NZX Derivatives Market Rules (Rules) pursuant to Rule
1.6. The amendments to the Rules were approved by the Financial Markets Authority on 15
February 2021, following consultation with the market in April 2020.
These amendments involve conformance updates to bring the Rules in conformance with the
2019 amendments to the NZX Participant Rules. The changes will amend the following areas of
the Rules:
a) financial advice;
b) discretionary accounts;
c) know your client (KYC) procedures/required client information;
d) contract notes;
e) voice recording;
f) disclosure of interests;
g) employee and prescribed person trading;
h) surveillance tools; and
i) Direct Market Access (DMA) trading.
These Rule amendments will take effect from 28 April 2021.
NZX will also be releasing updates to the NZX Derivatives Market Procedures (Procedures)
consistent with these changes and updating derivatives market forms 1 to 8.
Marked-up copies of the amendments to the Rules and Procedures are available here:
https://www.nzx.com/regulation/nzx-rules-guidance/upcoming-rules-changes
ENDS
For further information please contact:
David Glendining
Head of Communications
DDI+ 64 9 375 9866
MOB+ 64 27 301 9248
Data sourced from publicly available filings. Our datasets may not be complete. Automated analysis can produce errors. If you believe any data on this page is incorrect, please contact us at hello@nzxplorer.co.nz. For informational purposes only. Not investment advice.
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