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IN NZ MARKETS DISCIPLINARY TRIBUNAL SUMMARY HEARING PROCEDURENZMDT 3/2013UNDERthe NZ Markets Disciplinary Tribunal Rules IN THE MATTER OF breach of NZ AX Listing Rule 10.5.1BETWEENNZX LIMITEDANDRIS
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To fill out the NZ Markets disciplinary form, follow these steps:
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Start by downloading the disciplinary form from the NZ Markets website or obtain a physical copy from their office.
03
Read the instructions and guidelines provided with the form to understand the requirements and process.
04
Fill in your personal details accurately, including your name, contact information, and any relevant identification numbers.
05
Provide a detailed description of the incident or complaint that led to the disciplinary action.
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Review the completed form for any errors or omissions, and make necessary corrections.
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Submit the filled-out form through the designated submission channel mentioned in the instructions.
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Keep a copy of the form for your records.
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Follow up with NZ Markets to ensure your submission has been received and to track the progress of your disciplinary case.

Who needs in nz markets disciplinary?

01
Anyone who has experienced or witnessed a misconduct or violation of regulations by a participant of NZ Markets may need to fill out the NZ Markets disciplinary form.
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NZ Markets Disciplinary is a process to address misconduct and ensure compliance in the financial markets of New Zealand.
Any individual or entity within the financial markets industry in New Zealand who has been found to have violated regulations or codes of conduct.
To file in NZ Markets Disciplinary, one must submit a detailed report of the violation, evidence supporting the claim, and any relevant documents.
The purpose of NZ Markets Disciplinary is to maintain integrity in the financial markets, protect investors, and uphold regulatory standards.
Information such as the nature of the violation, parties involved, evidence, and any mitigating factors must be reported on in NZ Markets Disciplinary.
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