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An Inquiry Into the Performance by NZX of its Regulatory Functions as a Registered Exchange During 2003 and 2004 Prior to the Collapse of Access Brokerage
13 December 2005
TABLE OF CONTENTS
- GLOSSARY OF ABBREVIATIONS AND TERMS
- EXECUTIVE SUMMARY
- PART I - INTRODUCTION
- PART II - DEFAULT OF ACCESS
- PART III - NZX REGULATORY STRUCTURE AND COMPLIANCE STRATEGY
- PART IV - CLIENT FUNDS AND THE ACCESS INSPECTION
- PART V - FOLLOW UP TO THE ACCESS INSPECTION AND COMPETING PRIORITIES AT NZX
- PART VI - GOVERNANCE
- PART VII - STEPS TAKEN TO ASSESS CLIENT FUNDS PRACTICES
- PART VIII - TREATMENT OF CLIENT FUNDS ACCOUNTS HELD AT FINANCIAL INSTITUTIONS
- PART IX - FIDELITY GUARANTEE FUND
- PART X - DEVELOPMENT OF NZX COMPLIANCE FUNCTION SINCE 2003 AND RESPONSE TO ISSUES
- RECOMMENDATIONS
- REFERRAL AND CONCLUSION
- APPENDIX A
- APPENDIX B