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Infringement Notices

Under Section 5 of the NZ Markets Disciplinary Tribunal Rules, the Tribunal has delegated to NZX the power to issue an Infringement Notice.

2022

IN 5/2022 - 7 June 2022

  • Infringement Fee of $5000 issued to an Issuer in respect of a breach of NZX Listing Rule 3.26.2.

IN 4/2022 - 7 June 2022

  • Infringement Fee of $5000 issued to an Issuer in respect of a breach of NZX Listing Rule 3.26.2.

IN 3/2022 - 20 May 2022

  • Infringement Fee of $2000 issued to an Issuer in respect of a breach of NZX Listing Rule 3.26.2.

IN 2/2022 - 20 May 2022

  • Infringement Fee of $5000 issued to an Issuer in respect of a breach of NZX Listing Rule 3.26.2.

IN 1/2022 - 18 May 2022

  • Infringement Fee of $5000 issued to a Participant in respect of breaches of NZX Participant Rules 19.3.1 and 19.3.4, and Clearing and Settlement Rules 9.3.1 and 9.3.4.

2021

IN 3/2021 – 2 December 2021

  • Infringement Fee of $7,500 issued to a Participant in respect of breaches of NZX Participant Rules 10.5.1, 10.5.2(a) and 10.5.11(b).

IN 2/2021 – 28 October 2021

  • Infringement Fee of $7,000 issued to a Participant in respect of breach of NZX Participant Rule 19.1.1.

IN 1/2021 - 30 June 2021

  • Infringement Fee of $8,000 issued to a Participant in respect of breaches of NZX Participant Rules 10.5.1, 10.5.2(a), 10.5.2(d), 10.5.11(b) and 10.5.11(d).

2020

IN 1/2020 - 30 June 2020

  • Infringement Fee of $9,000 issued to a Participant in respect of breaches of NZX Participant Rules 8.8.1 and 10.14.2.

2019

IN 2/2019 - 28 February 2019

  • Infringement Fee of $6,000 issued to an Issuer in respect of breaches of NZX Main Board Listing Rule 3.3.11

IN 1/2019 - 31 January 2019

  • Infringement Fee of $6,000 issued to a Participant in respect of breaches of NZX Participant Rules 15.16.1 and 21.7.1

2018

IN05/2018 - 31 July 2018

  • Infringement Fee of $9,000 issued to an Issuer in respect of breaches of NZX Debt Market Listing Rule 7.12.1

IN04/2018 - 31 July 2018

  • Infringement Fee of $9,000 issued to an Issuer in respect of breaches of NZX Debt Market Listing Rule 7.12.1

IN03/2018 - 29 June 2018

  • Infringement Fee of $9,000 issued to an Issuer in respect of breaches of NZX Debt Market Listing Rule 7.12.1

IN02/2018 - 29 June 2018

  • Infringement Fee of $8,000 issued to a Participant in respect of breaches of NZX Derivatives Market Rule 11.3.1

IN01/2018 - 28 February 2018

  • Infringement Fee of $3,000 issued to an Issuer in respect of breaches of NZX Main Board Listing Rule 7.12.1

2017

IN03/2017 - 30 November 2017

  • Infringement Fee of $9,000 issued to an Issuer in respect of breaches of NZX Debt Market Listing Rule 7.12.1

IN02/2017 - 29 September 2017

  • Infringement Fee of $9,000 issued to a Participant in respect of breaches of Participant Rules 8.8.1, 10.2.2(a), and 10.8.1(a)

IN01/2017 - 29 September 2017

  • Infringement Fee of $4,000 issued to a Participant in respect of breaches of Participant Rules 18.2.1, 18.3.3, 18.4.1, 18.10.1, 18.11.2, and 3.9

2016

IN04/2016 - 30 June 2016

  • Infringement Fee of $3,000 issued to a Participant in respect of a breach of Participant Rule 19.3.1

IN03/2016 - 30 June 2016

  • Infringement Fee of $3,500 issued to a Participant in respect of a breach of Participant Rule 10.5.11
  • Revoked 15 July 2016

IN02/2016 - 29 April 2016

  • Infringement Fee of $3,000 issued to an Issuer in respect of a breach of Main Board Listing Rule 7.12.1

IN01/2016 - 31 March 2016

  • Infringement Fee of $5,000 issued to an Issuer in respect of a breach of Main Board Listing Rule 7.12.1