New Zealand Gazette – 1990 – No. 170

Page 3597

✨ Exchange Membership Regulations

28 SEPTEMBER NEW ZEALAND GAZETTE 3597

use its best endeavours to ascertain whether the Applicant is of good character and high business integrity.

(e) Where an Applicant is approved by the Board for Introducing Broker Membership the Applicant shall forthwith lodge with the Exchange the Introducing Broker Membership entrance fee prescribed by the Board, any contribution to the Fidelity Fund prescribed by the Board and such portion of the annual subscription as the Board may determine, and the membership shall not be effective until such amounts have been so lodged.

SUBSCRIPTIONS AND LEVIES

Trading Members

5.1 (a) Trading Members shall pay, in addition to the application fee and membership entrance fee, annual subscriptions or levies of such amounts, calculated in such manner (including the allowance of rebates based on the volume of business transacted by each Trading Member with the Exchange) as the Board may from time to time think fit. Payment shall be due on such date or dates in each year as the Board may from time to time determine.

(b) The Board shall have power to impose from time to time annual contributions and levies by way of contribution to the Fidelity Fund as provided in Article 45.

(c) The Board shall have power to impose special levies from time to time on Trading Members for specified purposes, provided such levies have first been approved by a special resolution of the Exchange.

(d) If a Trading Member fails to pay any subscription, contribution or levy within one month of the due date, its trading rights shall thereupon be suspended until the sum due is paid together with interest from the due date at twenty per cent per annum or such other rate as may be fixed by the Board from time to time. Should the default not be remedied within a further month of the due date then the Board shall forthwith give notice of an extraordinary general meeting for the purpose of determining whether to expel the defaulting Member. Notwithstanding the decision of that meeting, the Board may pursue payment of the amount due by legal action or accept security therefor.

(e) There shall be no entitlement to a refund of any portion of the membership entrance fee or transfer fee or any subscription, contribution or levy which has been paid by a Trading Member which has ceased for any reason to be a Member or whose trading rights have been suspended, and all fees, subscriptions, contributions and levies which have become due and payable by a Trading Member which has ceased for any reason to be a Member or whose trading rights have been suspended, but have not

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VUW Te Waharoa — NZ Gazette 1990, No 170

NZLII — NZ Gazette 1990, No 170

The General Assembly Library (on the right) was completed in 1899 and survived the 1907 fire. Now the oldest remaining original Parliament building, still used as the Parliamentary Library.

✨ LLM interpretation of page content

🏭 Introducing Broker Members Admission Process (continued from previous page)

Domain🏭 Trade, Customs & Industry
KeywordsIntroducing Broker Members, Admission, Application, Trading Members, Fees, Subscriptions, Levies

🏭 Trading Members Subscriptions and Levies

Domain🏭 Trade, Customs & Industry
KeywordsTrading Members, Subscriptions, Levies, Fidelity Fund, Fees, Penalties, Suspension, Expulsion

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