New Zealand Gazette – 2003 – No. 123

Page 3339

Page 3340 →

✨ Securities Market Regulations

SUPPLEMENT TO

New Zealand Gazette

OF THURSDAY, 28 AUGUST 2003

WELLINGTON: MONDAY, 1 SEPTEMBER 2003 — ISSUE NO. 123

Authorities and Other Agencies of State Notices

Securities Commission

Securities Markets Act 1988

The Authorised Futures Dealers Notice (No. 4) 2003

Pursuant to section 38 of the Securities Markets Act 1988, the Securities Commission gives the following notice.

Notice

Title, commencement and expiry—(1) This notice is the Authorised Futures Dealers Notice (No. 4) 2003.
(2) This notice comes into force on its publication in the New Zealand Gazette.
(3) This notice expires on the close of 1 December 2003.
Interpretation—(1) In this notice, unless the context otherwise requires:

“Act” means the Securities Markets Act 1988.

“agreed upon procedures engagement terms” means a written agreement, in terms of the Explanatory Foreword to Reporting Engagement Standards and Guidelines issued by the Institute of Chartered Accountants of New Zealand, between the compliance reporter and the company to perform specific procedures with respect to the company’s compliance with rules contained in the company’s compliance manual.

“compliance reporter” means a qualified auditor who has entered into agreed upon procedures engagement terms with the company.

“qualified auditor” has the same meaning as in section 2C of the Securities Act 1978.

“recognised exchange” means an authorised futures exchange or any exchange in a country other than New Zealand which is authorised by the laws of that country to operate as a futures exchange.

“Regulations” means the Futures Industry (Client Funds) Regulations 1990.

“specified futures contract” also referred to as off exchange traded futures contract, means a futures contract other than one that is made on or effected through a recognised exchange.

“the company” means Intercontinental Financial Services Corporation Limited.

(2) Any term or expression that is defined in the Act or the Regulations and that is used, but not defined, in this notice has the same meaning as in the Act or the Regulations.

Authorisation—(1) The company is authorised to carry on the business of dealing in specified futures contracts.
(2) The authorisation is subject to the conditions that:

(a) the company does not carry on the business of dealing in specified futures contracts on behalf of any person other than a person who has entered into a client services agreement with the company, and then only in accordance with the terms of that agreement.

(b) before the company carries on the business of dealing in specified futures contracts on behalf of any person, the company has provided that person with copies of the following:

(i) a document that clearly describes, for the prudent but non-expert investor, the risks associated with trading in specified futures contracts, including any specific risk factors that apply to trading in any of the particular

VUW Te Waharoa — NZ Gazette 2003, No 123

Gazette.govt.nz — NZ Gazette 2003, No 123

Parliament House (depicted) was completed in 1918 and remains the primary seat of Parliament.

✨ LLM interpretation of page content

🏭 Authorisation of Futures Dealers

Domain🏭 Trade, Customs & Industry
KeywordsSecurities Markets Act 1988, Futures Dealers, Authorisation, Intercontinental Financial Services Corporation Limited
👩‍💼 Officials

Securities Commission

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