29 APRIL 2004

NEW ZEALAND GAZETTE, No. 46

1159

(c) is licensed as an Australian Financial Services
Licensee under the Corporations Act and holds an
AFS Licence which authorises JPMMAPL to provide
futures dealing and advisory services to wholesale
clients; and

(d) notifies the commission if JPMMAPL’s AFS
Licence is varied or revoked and notifies the
commission of any regulatory action taken by ASIC
in relation to JPMMAPL’s AFS Licence; and

(e) provides the commission with a copy of
JPMMAPL’s annual financial statements no later
than three months after the end of each financial
year for JPMMAPL; and

(f) notifies the commission of any material matter
concerning JPMMAPL’s authorisation as a futures
dealer.

(3) This authorisation continues in force until it is revoked
by the commission.

Dated at Wellington this 27th day of April 2004.
The Common Seal of the Securities Commission was
affixed in the presence of:

[L.S.]

JANE DIPLOCK, Chairperson.
au2738

(3) This authorisation applies in respect of futures contracts
made on or effected through the exchange.

(4) This authorisation continues in force until it is revoked
by the commission.

Dated at Wellington this 28th day of April 2004.
The Common Seal of the Securities Commission was
affixed in the presence of:

[L.S.]

JANE DIPLOCK, Chairperson.
au2743

The Authorised Futures Dealers Notice (No. 2) 2004

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

Notice

1. Title and commencement—(1) This notice may be
   cited as the Authorised Futures Dealers Notice (No. 2) 2004.

(2) This notice comes into force on the day after the date of
its publication in the New Zealand Gazette.

2. Interpretation—(1) In this notice, unless the context
   otherwise requires:

“Act” means the Securities Markets Act 1988.

“AFS Licence” means an Australian Financial Services
Licence issued under the Australian Corporations Act
2001.

“exchange” means the Sydney Futures Exchange
Limited.

“SFE Participant” means a participant of the exchange as
set out in the SFE Rules.

“SFE Rules” means the operating rules of the Sydney
Futures Exchange Limited that are published by the
exchange.

(2) Any term or expression that is not defined in this notice,
but that is defined in the Act, has the meaning given to it by
the Act.

3. Authorisation—(1) Every SFE Participant is authorised
   to carry on the business of dealing in futures contracts
   generally.

(2) This authorisation is subject to the conditions that:

(a) The SFE Participant is bound by the SFE Rules;

(b) the SFE Participant has a current AFS Licence; and

(c) the SFE Participant sends, or causes to be sent, a
copy of its annual audited financial statements to the
commission within three months of its balance date.

The Authorised Futures Dealers Notice (No. 3) 2004

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

Notice

1. Title and commencement—(1) This notice may be
   cited as the Authorised Futures Dealers Notice (No. 3) 2004.

(2) This notice comes into force on the day after the date of
its publication in the New Zealand Gazette.

2. Interpretation—(1) In this notice, unless the context
   otherwise requires:

“Act” means the Securities Markets Act 1988.

“NZX” means New Zealand Exchange Limited.

“NZX Futures and Options Rules” means the rules made
by NZX from time to time, for the regulation of NZX
Participants, that have been approved by the
commission and are published on NZX’s web site.

“NZX Participant” means a Futures and Options Firm, a
Futures and Options IB or a Futures and Options
Advisor designated by NZX as such under the NZX
Futures and Options Rules.

(2) Any term or expression that is not defined in this notice,
but that is defined in the Act, has the meaning given to it by
the Act.

3. Authorisation—(1) Every NZX Participant is authorised
   to carry on the business of dealing in futures contracts
   generally.

(2) This authorisation is subject to the conditions that:

(a) The NZX Participant is bound by all applicable
NZX Futures and Options rules in respect of the
dealing; and

(b) the NZX Participant sends, or causes to be sent, a
copy of its annual audited financial statements to the
commission within three months of its balance date.

(3) This authorisation applies to any dealing in futures
contracts that is subject to NZX regulation and oversight
under the NZX Futures and Options Rules.

(4) This authorisation continues in force until it is revoked
by the commission.

Dated at Wellington this 28th day of April 2004.
The Common Seal of the Securities Commission was
affixed in the presence of:

[L.S.]

JANE DIPLOCK, Chairperson.
au2744