New Zealand Gazette – 1990 – No. 170

Page 3676

✨ Futures Trading Regulations

3676 No. 170

NEW ZEALAND GAZETTE

Second minor breach by Member) $ for first contract.
within a 24 month period ) $ for each additional
) contract.

Third and subsequent minor ) $ for first contract.
breach by Member within a ) $ for each additional
24 month period ) contract.

Maximum fine per breach )
regardless of number of ) $
contracts involved )

NOTES:

(i) Minor breaches in respect of which a reprimand is given but no fine is imposed shall not be taken into account in determining the frequency of minor breaches within a 24 month period.

(ii) Any act or default of a Member in any delivery month, which is determined to be a minor breach falling within the provisions of Part A of this Schedule, shall for the purposes of this Part B constitute a single minor breach regardless of the number of contracts involved. Any repetition of the same act or default and any similar act or default by the Member in a subsequent delivery month shall constitute a separate minor breach.

UNDERTAKING BY NOMINATING MEMBER

Pursuant to Article 4.6(b)

TO:
NEW ZEALAND FUTURES AND OPTIONS EXCHANGE LIMITED
("the Exchange")

(name of Trading Member)

of the Exchange HEREBY UNDERTAKE to the Exchange and to each other Trading Member of the Exchange that until such time as we shall be released from this Undertaking pursuant to clause 4.7(b) of the Articles of Association of the Exchange we shall cause all futures contracts and option contracts traded on the Exchange by

(name of Local Member)

to be registered with the Clearing House in our name.

Terms defined in the Articles of Association have the same meaning in this Undertaking.

DATED this __ day of ___ 19____

(Signature)

MARIE SHROFF, Clerk of the Executive Council.

PUBLISHED BY AUTHORITY OF DEPARTMENT OF INTERNAL AFFAIRS.
V. R. WARD, GOVERNMENT PRINTER, WELLINGTON, NEW ZEALAND - 1990

ISSN 0111-5650
Price $3 (incl. GST)
1799AJ-90A

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VUW Te Waharoa — NZ Gazette 1990, No 170

NZLII — NZ Gazette 1990, No 170

The Executive Wing of Parliament (depicted) is universally known as The Beehive. It was completed in 1977 and remains the primary office for the elected Government of the day.

✨ LLM interpretation of page content

🏭 Introducing Broker – Principal Broker Agreement (continued from previous page)

Domain🏭 Trade, Customs & Industry
KeywordsBrokerage Agreement, Futures Trading, Option Contracts, Client Instructions, Commission Sharing, Termination Clauses
👩‍💼 Officials

Marie Shroff, Clerk of the Executive Council

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