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OVERSIGHT REVIEW OF NZX 2008

CONTENTS

STRUCTURE OF NZX AND ITS MARKETS

1. ABOUT THIS REVIEW
2. EXECUTIVE SUMMARY
3. INTRODUCTION
4. MATTERS ARISING FROM THE REVIEW OF THE 2007 YEAR
5. NZX'S FRONTLINE REGULATION
6. RELATIONSHIP OF NZX'S EXPANDING COMMERCIAL ACTIVITIES TO ITS REGULATORY FUNCTION
7. NEW ZEALAND MARKETS DISCIPLINARY TRIBUNAL
8. THE SPECIAL DIVISION OF THE NZMDT
9. NZX'S RISK-BASED APPROACH TO SUPERVISION
   • RISK ASSESSMENT PROCESSES
   • ON-SITE INSPECTION
   • NZX'S SUPERVISION OF MARKET PARTICIPANTS
   • IMPLEMENTATION OF THE ON-SITE INSPECTION PROGRAMME
10. RESPONSIBILITY FOR THE SUPERVISORY FUNCTION
11. CONCLUSION
12. APPENDIX
    • GLOSSARY OF KEY TERMS AND ABBREVIATIONS
    • SCOPE OF REVIEW
    • BACKGROUND TO REVIEW
    • PROCESS