An annual report required of NZX Discipline under the NZX Discipline Rules.

NZX Solicitor who acts as a liaison between NZX and the Special Division.

A system for securities trades and cash transfers, operated in New Zealand by the Reserve Bank.

Staff in the NZX Regulation and Participant Compliance teams of the Market Supervision Group.

NZX staff in the Participant Compliance team.

The Participant Rules and Listing Rules of NZX.

Direct Market Access - system enabling accredited DMA firms to trade directly into the New Zealand market.

Fully Automatic Screen Trading and Electronic Registration securities transfer system.

Financial Sector Assessment Programme, conducted by the International Monetary Fund.

FASTER Settlement Solution - transfer system for the real-time settlement of trades.

A Futures and Options Firm, Futures and Options Introducing broker or a Futures and Options Advisor designated by NZX as such under the NZX Futures and Options Rules

International Organization of Securities Commissions

The methods and interpretations approved by IOSCO in 2003 for assessing implementation of the IOSCO Principles.

IOSCO's Objectives and Principles of Securities Regulation (October 2003) which are accepted as the international standards for securities regulation by the IMF and the World Bank.

Listed Company Relations - a team which is part of the NZX Market Supervision Group.

Rules made by NZX that govern the conduct of issuers listed on NZX's markets, approved as listing rules under the Securities Markets Act 1988.

A committee of two persons who may be used by NZX Regulation to review offer documents in assessing listing applications.

Market Announcements Platform

Group within NZX that focuses on NZX's trading and systems infrastructure and technology arrangements.

An organisation accredited by NZX to participate in the markets that NZX operates

A group within NZX led by the Head of Regulation comprising three teams - NZX Regulation, Participant Compliance and Listed Company Relations.

New Zealand Stock Exchange (the former name of NZX)

New Zealand Stock Market

A disciplinary body constituted by NZX under the NZX Discipline Rules.

The NZX Discipline Rules as made by NZX.

NZX Regulation- a team within NZX's Market Supervision Group which focuses on regulation of Listed Issuers.

New Zealand Exchange Limited

A team within NZX's Market Supervision Group which focuses on regulation of Market Participants.

Rules made by NZX that govern the conduct of business on securities markets operated by NZX and persons authorised to undertake trading activities on those markets, approved as business rules under the Securities Markets Act 1988.

2005 calendar year

Securities Markets Automated Research Trading and Surveillance - the real-time electronic market surveillance system that generates alerts indicating unusual trading.

Procedural handbook used by NZX Solicitors in processing applications and regulating Listed Issuers under the Listing Rules.

The division of NZX Discipline that exercises the powers and functions of NZX in relation to NZX or a related entity as a Listed Issuer.

Brand name of NZX's securities trading system.