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March 27, 2015 3:36 AM ET

Company Overview of New Zealand Markets Disciplinary Tribunal

Company Overview

Wellington,  6243

New Zealand

Key Executives for New Zealand Markets Disciplinary Tribunal

Executive Counsel and Counsel of Special Division
Deputy Chairman of the Special Division and Deputy Chairman of the Appeal Panel
Chairman of the Special Division and Chairman of the Appeal Panel
Member of the Special Division and Member of the Appeal Panel
Member of the Special Division and Member of the Appeal Panel
Compensation as of Fiscal Year 2014.

New Zealand Markets Disciplinary Tribunal Key Developments

New Zealand Markets Disciplinary Tribunal Orders Pyne Gould Corporation Limited to Pay Fine of $8,000 to NZX Discipline Fund

NZX Regulation (NZXR) noted the public censures released by the New Zealand Markets Disciplinary Tribunal (NZMDT) in relation to Pyne Gould Corporation Limited (PGC). NZXR referred PGC to the NZMDT following Michael Carolan's resignation as a non-Independent Director of PGC in July 2014. NZMDT subsequently found that PGC had breached NZX Main Board Listing Rule 3.3.1(b) by failing to ensure the composition of its Board includes at least two Directors who are ordinarily resident in New Zealand. NZXR and PGC entered into a settlement agreement in relation to this breach. NZMDT approved that settlement. NZMDT publicly censured PGC and ordered it to pay a fine of $8,000 to the NZX Discipline Fund together with costs.

New Zealand Markets Disciplinary Tribunal Announces Executive Changes

The members of the NZ Markets Disciplinary Tribunal have appointed a new Chairman, David Flacks. David is a partner of law firm Bell Gully, a member of the Takeovers Panel and a director of Vero Insurance New Zealand Limited and Vero Liability Insurance Limited. He was previously general counsel and company secretary of Carter Holt Harvey Limited and a member of the Market Surveillance Panel of the New Zealand Stock Exchange. David's appointment follows the retirement at the Tribunal's recent annual meeting of Derek Johnston, who had served as Chairman for the past three years and as a Tribunal member for the past ten years.

New Zealand Markets Disciplinary Tribunal Announces Appointment of New Members

NZX has appointed Geoff Brown, Richard Keys, Richard Leggat, David Kreider, Rachael Reed and Christopher Swasbrook to the NZ Markets Disciplinary Tribunal ("NZMDT") for a three-year term. The Financial Markets Authority has confirmed their appointments. The NZMDT Chairman, Derek Johnston, has also appointed James Ogden (an existing NZMDT member) to the Special Division, the independent body that monitors NZX's compliance with its Listing Rules. This appointment has been confirmed by the Financial Markets Authority.

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