NZX Participant Portal

NZX developed the Participant Portal to simplify the way NZX Participants interact with the NZ RegCo Participant Compliance team. Participant Portal is a custom-built web application to manage a range of regulatory functions. For instance, NZX Participants can meet their capital reporting obligations, submit waiver/exemption applications and make notifications required under the Participant rule sets. The Portal removes a number of manual processes, while enhancing the security of confidential information. It gives NZX Participants greater control of their corporate information that is required under the exchange’s market rules.

Key advantages of the Participant Portal

• Centralised source of truth between NZX Participants and NZX
• Secure channel to submit and store information
• Consistent and clear approach to performing regulatory interactions
• Allows NZX Participants and NZX to track the status of applications and receive automated due date reminders

Who uses the Participant Portal?

• NZX Participants’ compliance personnel – maintaining NZX Participant information, regulatory applications and notifications;
• Finance and accounts personnel – capital and prudential notifications, and submission of periodic returns; and
• Compliance managers and senior managers – oversight and approval of regulatory submissions to NZX

How do you access the Participant Portal?

• Only NZX Participants can access the Participant Portal
• Users login to https://compliance.nzx.com
• You must be invited to register by the NZX Participant Compliance team
• Senior Management and Compliance Managers are able to invite additional users to use the Portal through the Users tab
• You can access the User Guide here. The User Guide gives you guidance on how to use the Portal

If you have any questions in relation to the Participant Portal, please contact the Participant Compliance team by email at participant@nzregco.com, or phone (+64) 4 498 2279.