FMA Market Operator Obligations Report update

FMA Market Operator Obligations Report update
7 May 2021 –
Following the release of the Financial Markets Authority (FMA) report, ‘Market Operator
Obligations Targeted Review – NZX’ on 28 January 2021,

NZX has received approval of its action plan
from the FMA, under section 341 of the Financial Markets Conduct Act 2013.
The plan approved by the FMA contains a number of actions for NZX to implement relating to NZX’s
arrangements for governance oversight, industry engagement, information technology capability, cyber
security, human resources, crisis management planning and risk management.
NZX is focused on delivery of the agreed steps under the plan. NZX will be providing regular progress
reports to the FMA in respect of the implementation of the action plan, with close oversight from NZX’s
Board and Technology Committee.
ENDS.

For further information, please contact:

Media – David Glendining +64 27 301 9248
Investors – Graham Law +64 29 494 2223



About NZX
For more than 150 years we have been creating opportunities for Kiwis to grow their personal wealth and
helping businesses prosper. As New Zealand’s Exchange, we are proud of our record in supporting the
growth and global ambitions of local companies. NZX operates New Zealand's equity, debt, funds,
derivatives and energy markets. To support the growth of our markets, we provide trading, clearing,
settlement, depository and data services for our customers.
We also own Smartshares, New Zealand's only issuer of listed Exchange Traded Funds (ETFs), and
KiwiSaver provider SuperLife. NZX Wealth Technologies is a 100%-owned subsidiary delivering rich
online platform functionality to enable New Zealand investment advisors and providers to efficiently
manage, trade and administer their client's assets. Learn more about us at: www.nzx.com