Case Studies & Investigation Reports

The following case studies and investigation reports have been issued by NZ RegCo

November 2022: Investigation report relating to NZ Automotive Investments Limited breaches of the corporate governance requirements under Listing Rule 2.7.1
March 2022: Investigation Report relating to New Talisman Gold Mines Limited's compliance with certain provisions of the NZX Main Board Listing Rules
August 2019: Investigation Report relating to Promisia Integrative Limited's compliance with the related party transaction rules under the NZX Main Board Listing Rules
April 2019: Case study relating to the conduct of an NZX Advisor who had their designation revoked for breaches of Participant Rules 5.8.1 and 8.1.1
November 2018: Case study relating to how issuers should manage information that develops over a period of time under Rule 10.1.1 of the NZX Main Board Listing Rules
October 2018: Case study relating to the rotation of managing directors under Rules 3.3.6 and 3.3.9 of the NZX Main Board Listing Rules
January 2018: Investigation Report relating to Fletcher Building Limited earning forecasts under Rule 10.1.1 of the NZX Main Board Listing Rules
November 2017: Case study relating to the treatment of developing information and forecasts under Rule 10.1.1 of the NZX Main Board Listing Rules