2 FEBRUARY 2012 NEW ZEALAND GAZETTE, No. 11

(3) The authorisation in clause 3(1) of this notice is subject to the conditions set out in clauses 4 to 9 of this notice.

4. Conditions relating to Operating Rules—(1) The Company must ensure that copies of the Operating Rules are available for public inspection, free of charge:

(a) during normal office hours, at the registered office of the Company; and

(b) at all reasonable times, on a website operated by or for the Company.

(2) The Company must notify Financial Markets Authority of any proposed amendments to the Operating Rules not less than 30 days, or such other time as agreed with Financial Markets Authority, before such amendments are effected.

(3) The Company must notify Financial Markets Authority if it seeks to transfer or assign any of its rights, entitlements, or obligations under the Operating Rules to any person not less than 30 days before such transfer or assignment becomes effective.

5. Conditions relating to the authorisation of NZ Participants—(1) The Company must require NZ Participants to be authorised to carry on the business of dealing in futures contracts under Part 3 of the Act, unless that NZ Participant is only dealing on its own account.

(2) The Company must require NZ Participants to notify the Company immediately if that Participant’s authorisation to carry on the business of dealing in futures contracts under Part 3 of the Act is revoked.

6. Conditions relating to clearing arrangements—

(1) Clearing and settlement arrangements for transactions effected through the Market must be those provided by ASX Clear (Futures) Pty Limited.

(2) The Company must notify Financial Markets Authority of any proposed amendments to the rules and procedures of ASX Clear (Futures) Pty Limited not less than 30 days, or such other time as agreed with the Financial Markets Authority, before such amendments are effected.

7. Conditions relating to reporting obligations—(1) The Company must give Financial Markets Authority the following information:

(a) The current name and business address of each NZ Participant; and

(b) the name of the ASX Clear (Futures) Pty Limited clearing member used by each NZ Participant to clear the trades of that NZ Participant; and

(c) details of any written complaint received by the Company during the reporting period concerning an NZ Participant or that NZ Participant’s directors or other personnel where such complaint has not been resolved to the satisfaction of the complainant; and

(d) any information that the Australian Securities and Investment Commission has obtained from the Company during the reporting period in relation to a NZ Participant or in relation to the Company’s operation of the Market.

(2) The Company must give Financial Markets Authority the information under clause 7(1) within 30 days of the end of each reporting period. For the purposes of this clause 7, the reporting period is each six-month period ending on 30 June or 31 December.

(3) The Company must notify Financial Markets Authority if the Company:

(a) takes any disciplinary action for a contravention of:

(i) the Operating Rules; or

(ii) the rules and procedures of ASX Clear (Futures) Pty Limited, if applicable; or

(iii) the Act, the Securities Act 1978, any enactment made under either of those Acts, or any enactment which replaces either of those Acts; or

(iv) any enactment effective in the Company’s place of incorporation which the NZ Participant must comply with because of its participation in the Market.

(4) The Company must give the notice under clause 7(3) as soon as practicable after taking the disciplinary action, or knowing or suspecting the person has committed, is committing, or is likely to commit the significant contravention.

(5) Any notice given by the Company under clause 7(3) must include:

(a) the person’s name and contact details; and

(b) if it relates to a disciplinary action, the grounds for, nature of, and reasons for the action taken; and

(c) if it relates to a known or suspected contravention, the facts supporting the Company’s view and to which obligation the known or suspected contravention relates; and

(d) any other information reasonably required by Financial Markets Authority in order to carry out its functions.

(6) The Company must, if requested to do so in writing by the Financial Markets Authority and if not prohibited by any applicable law:

(a) give to Financial Markets Authority (or any person authorised by Financial Markets Authority) all information, documentation, assistance, and access to the Company’s facilities; and

(b) answer any question asked by Financial Markets Authority (or any person authorised by Financial Markets Authority), that are necessary or desirable to enable Financial Markets Authority to fulfil its functions.

(7) The Company must notify Financial Markets Authority as soon as practicable if:

(a) the Company’s licence to operate a derivatives market in the Company’s place of incorporation is varied or revoked; or

(b) any statutory requirement applying to the company as a result of, or in connection with, its operation of a derivative market is amended in a manner which materially alters an obligation or requirement imposed on the Company.

(8) The Company must notify Financial Markets Authority as soon as practicable if:

(a) the Company becomes aware that the Company, or any of the Company’s directors or senior management personnel, is subject to investigation by any regulatory or law enforcement agency; or

(b) the Company, or any of the Company’s directors or senior management personnel, is subject to any adverse finding by any Court, tribunal, regulatory authority, or disciplinary committee; or

(c) the Company becomes aware that ASX Clear (Futures) Pty Limited, or any of its directors or senior management personnel, is subject to investigation by any regulatory or law enforcement agency; or

(d) ASX Clear (Futures) Pty Limited, or any of its directors or senior management personnel, is subject