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Memorandum of Understanding

between the

Securities Commission

and

NZSE Limited

on regulatory co-operation

Table of Contents

1.	BACKGROUND AND RELATIONSHIP PRINCIPLES
2.	MOU NOT BINDING
3.	OPERATIONS GROUP
4.	NZSE REFERRALS
		Principles
		Compulsory Referrals
		Discretionary referrals
		Urgent referrals
		Commission action and reporting
5.	REFERRALS FROM COMMISSION
		Procedure
		NZSE action and reporting
6.	CONTINUOUS DISCLOSURE
		Principles
		Waivers and Rulings
7.	DIRECTIONS
8.	CONDUCT RULES APPROVAL AND DISALLOWANCE
		Principles
		Process
9.	PUBLICITY
10.	LIMITATIONS ON EXCHANGE AND USE OF INFORMATION
11.	STRATEGIC GROUP
12.	MOU TERM AND REVIEW
	Annex A
	Annex B
	Annex C