NZX Limited · NZX:NZX
NZX — Authorised Representatives & Issuer Training Webinar 2024
21 slides from NZX's conference presentation, Jun 13, 2024
Slide 1: Authorised Representatives & Issuer Training Modules
Authorised Representatives & Issuer Training Modules Chris Juchnowicz – Head of Issuer Regulation 13.06.2024
Slide 2: NZ RegCo Strategic Objectives
NZ RegCo Strategic Objectives SO1: Compliant markets SO2: Market development SO3: Regulatory SO4: Staffing and and structure empowerment capabilities We support a compliant We promote regulatory We provide tools and We attract, develop and NZX markets eco-system, settings that support support that e
Slide 3: NZ RegCo teams
NZ RegCo teams Four teams: Issuer Regulation, Market Conduct, Participant Compliance, and Surveillance Issuer Regulation regulates NZX listed entities (Issuers) with a focus on transactions, applications, waivers, rulings. Market Conduct focuses on investigations and enforcement in accordance with o
Slide 4: Authorised Representatives
Authorised Representatives
Slide 5: Two Authorised Representatives
Two Authorised Representatives Each Issuer must appoint a Primary Authorised Representative (to act Authorised as a point of contact for the Issuer on Representatives act as matters relating to the Issuer’s Listing a designated point of Rule obligations), and a Secondary contact for NZX and NZ Autho
Slide 6: Employee, officer, or director
Employee, officer, or director The Primary Authorised Representative must: • be a person who possesses a high degree of familiarity with the operations of the Issuer, and • has ready access to management and the Issuer’s Board in respect of Listing Rule compliance. 6
Slide 7: MAP & other obligations
MAP & other obligations • MAP users do not need to be an Authorised Representative • Issuer and Board responsible for Listing Rule compliance 7
Slide 8: Prescribed form
Prescribed form www.nzx.com/regulation/nzx-rules-guidance/tools-and-resources 8
Slide 9: Prescribed form
Prescribed form iii] || wzaeece Please review the completed information you are about to submit Issuer(s): NZX Limited First Name: Webinar Last Name: Example Job Title: Example Email: Example@nzx.com Mobile number: 123456789 Landline number: 987654321 Authorised Representative role: Primary Authoris
Slide 10: Changes of appointee or contact details
Changes of appointee or contact details If a new Authorised Representative is appointed the Issuer must notify NZX Must notify NZX of changes to the contact information for Authorised Representatives In an Authorised Representative is unavailable for a consecutive period of more than 3 months, must
Slide 11: Issuer Training Modules
Issuer Training Modules
Slide 12: Safetrac learning environment
Safetrac learning environment www.nzx.com/regulation/issuer-training- modules Username is the email used to enrol 12
Slide 13: Listing Rule requirements
Listing Rule requirements Primary authorised representatives for primary listed equity issuers must complete the eight Safetrac modules and pass the tests by 24 January 2025 Refresh training every three years (to be completed within six months of the third anniversary of last completing the training
Slide 14: New user registration
New user registration iH {HH NZRegCo MARKET REGULATOR Registration Personal Details First Name * Last Name ~ Email Address (Username) ~ Password - Are you an employee or director of a NZX listed issuer? ~ Are you, or will you become, an Issuer's Authorised * @Yes ONo Representative under the NZX Lis
Slide 15: Five modules are available
Five modules are available 15
Slide 16: Three modules in development
Three modules in development 16
Slide 17: Issuer Training Modules - Issuing Securities and Raising Capital
Issuer Training Modules - Issuing Securities and Raising Capital Part 1: Overview of Issuing Securities as a NZX Listed Equity Issuer = Part 2: Disclosure Requirements When Raising Capital = Part 3: Shareholder Approval When Issuing Securities = Part4: Template Disclosures Under the Listing Rules =
Slide 18: NZ RegCo
NZ RegCo Nz'suisteD Mas Conclusion Well done! You have completed the NZX Issuer Training Modules - Issuing Securities and Raising Capital Let's start the test. 18
Slide 19: NZ RegCo
NZ RegCo MARKET REGULATOR What is the aggregate placement limit over a 12 month period for NZX equity issuers? 19
Slide 20: Updates to content
Updates to content Content will be updated from time to time Any Listing Rule and guidance changes will be communicated to Authorised Representatives (and via usual channels) 20
Slide 21: Thank you
Thank you chris.juchnowicz@nzregco.com issuer@nzregco.com
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