Policies

CODE OF CONDUCT

NZX’s Code of Conduct sets out the standards of conduct expected of NZX’s directors (including members of Board committees) and employees (including secondees, contractors and consultants).

Download a copy of the Code of Conduct Policy

CONFLICT MANAGEMENT

NZX’s Conflict Management Policy sets out the types of conflict of interest that could arise for NZX and its subsidiaries (the NZX Group), together with the arrangements to manage these conflicts. It also sets out the NZ Markets Disciplinary Tribunal’s role in managing conflicts.

Download a copy of the Conflict Management Policy

CONTINUOUS DISCLOSURE

NZX’s Continuous Disclosures Policy sets out how NZX ensures material information is identified, reported, assessed and, where required, disclosed to the market in a timely manner.

Download a copy of the Continuous Disclosure Policy

DIVERSITY AND INCLUSION

NZX’s Diversity and Inclusion Policy sets out how NZX will set measurable objectives for achieving diversity and inclusion, and how it will assess its progress towards achieving these objectives. The policy also sets out the diversity and inclusion initiatives NZX currently has in place, together with the initiatives it is currently implementing.

Download a copy of the Diversity and Inclusion Policy

EXTERNAL AUDITOR INDEPENDENCE

NZX's External Auditor Independence Policy provides a framework for NZX managing its external auditor and ensuring that there is no relationship between the external auditor and NZX (or its directors and management) that could compromise the external auditor's independence.

Download a copy of the External Auditor Independence Policy

FINANCIAL PRODUCT TRADING

NZX’s Financial Products Trading Policy restricts directors and employees trading in NZX’s securities in blackout periods around the release of NZX’s financial results. The policy also requires directors and employees to obtain the General Counsel’s consent before trading in NZX’s securities.

Because NZX is a licensed market operator and a fund manager, the policy also requires senior managers, employees involved in the supervision of NZX’s markets and certain employees involved in NZX’s funds management operations to obtain the NZ RegCo CEO’s consent before trading in financial products quoted on a market operated by NZX (other than NZX’s securities).

Download a copy of the Financial Products Trading Policy

FIT AND PROPER

NZX’s Fit and Proper Policy sets out how NZX ensures its directors and senior managers (and certain employees) are fit and proper persons to hold their positions.

Download a copy of the Fit and Proper Policy

PROTECTED DISCLOSURES

NZX’s Protected Disclosure Policy sets out how NZX facilitates the disclosure and investigation of cases of serious wrongdoing in or by NZX and protect NZX’s directors and employees who make disclosures of information about serious wrongdoing in or by NZX.

Download a copy of the NZX Protected Disclosures Policy

REMUNERATION

NZX’s Remuneration Policy sets out the principles which apply to the remuneration of NZX’s directors and employees.

Download a copy of the Remuneration Policy