✨ Futures Dealer Authorisations and Transport Rule Exemptions
31 OCTOBER 2013 NEW ZEALAND GAZETTE, No. 146 4003
action taken by ASIC in relation to JPMAL’s AFS Licence; and
(h) JPMAL provides FMA with a copy of JPMAL’s audited annual financial statements no later than three months after the end of each financial year for JPMAL; and
(i) JPMAL notifies FMA of any material matter concerning JPMAL’s authorisation as a futures dealer.
- Authorisation for JPMCB—(1) JPMCB is authorised to carry on the business of dealing in specified futures contracts.
(2) The authorisation in clause 4(1) is subject to the conditions that:
(a) JPMCB deals only on behalf of its wholesale clients; and
(b) before dealing in any futures contract in respect of which the authorisation applies, JPMCB is satisfied on reasonable grounds that the wholesale client is contracting:
(i) as principal on its own account; or
(ii) on behalf of a related body corporate; or
(iii) as trustee of a trust or manager of a managed fund; and
(c) JPMCB is licensed as an Australian Financial Services Licensee under the Corporations Act and holds an AFS Licence which authorises JPMCB to provide futures advisory services to wholesale clients; and
(d) all client money and property held by JPMCB in connection with dealing in futures contracts is held in accordance with the client money and property protection provisions of the Corporations Act and the conditions of JPMCB’s AFS Licence; and
(e) JPMCB notifies FMA if JPMCB’s AFS Licence is varied or revoked and notifies FMA of any regulatory action taken by ASIC in relation to JPMCB’s AFS Licence; and
(f) JPMCB provides FMA with a copy of JPMCB’s annual financial statements no later than three months after the end of each financial year for JPMCB; and
(g) JPMCB notifies FMA of any material matter concerning JPMCB’s authorisation as a futures dealer.
Dated at Wellington this 31st day of October 2013.
ELAINE CAMPBELL, Head of Compliance Monitoring, Financial Markets Authority.
au6992
NZ Transport Agency
Land Transport Act 1998
Notification of Exemptions From Land Transport Rules
Pursuant to section 166(3) of the Land Transport Act 1998, I, Angela Duncan, Managing Counsel (Rules), NZ Transport Agency, notify that the following exemptions from the stated Land Transport Rules were made under section 166(1) of that Act between 1 July 2013 and 30 September 2013:
| Nature of Exemption | Number of Exemptions |
|---|---|
| Door Retention Systems 2001 (Rule 32001/1) | |
| Clause 2.1 | 1 |
| Clause 2.3(1) | 5 |
| Driver Licensing 1999 (Rule 91001) | |
| Clause 10 (evidence of identity) | 276 |
| Clause 14 | 3 |
| Clause 15(b) | 28 |
| Clause 16 | 2 |
| Clause 17(b)(a) | 46 |
| Clause 18 (restricted licence conditions) | 84 |
| Clause 19(b)(a) & (b) (driving experience) | 43 |
| Clause 19(b)(a)(i) & (ii) (age exemption) | 244 |
| Clause 27(1)(b) | 98 |
| Clause 34(1)(b) | 1 |
| Clause 38(2) | 25 |
| Clause 89(2)(d) | 37 |
| External Projections 2001 (Rule 32008/1) | |
| Clause 2.3(1) | 2 |
| Frontal Impact 2001 (Rule 32006) | |
| Clause 2.3(1) | 4 |
| Glazing, Windscreen Wipe and Wash & Mirrors 1999 (Rule 32012) | |
| Clause 2.3 | 6 |
| Clause 3.2 | 6 |
| Clause 3.1(6) | 1 |
| Clause 3.1(8) | 1 |
| Head Restraints 2001 (Rule 32010/1) | |
| Clause 2.3(1) | 1 |
| Heavy Vehicles 2004 (Rule 31002) | |
| Clause 3.5(2) | 53 |
| Clause 4.6(3) | 2 |
| Clause 4.7(1) | 2 |
| Clause 6.4(4) | 1 |
| Heavy Vehicle Brakes 2006 (Rule 32015) | |
| Clause 2.3(9) | 113 |
| Clause 2.5(1) | 1 |
| Clause 3.6(1)(a) | 32 |
| Clause 7.3(5) | 6 |
| Clause 7.3(10) | 6 |
| Schedule 5(4.1.1) | 4 |
| Schedule 5(4.1.2(a)) | 4 |
| Schedule 5(4.1.4.2(a)) | 14 |
| Schedule 5(10) | 5 |
| Interior Impact 2001 (Rule 32002/1) | |
| Clause 2.1 | 6 |
| Clause 2.3(1) | 4 |
| Light-vehicle Brakes 2002 (Rule 32014) | |
| Clause 2.1(1) | 2 |
| Clause 2.4(5) | 4 |
| Clause 2.5(1) | 3 |
| Operator Licensing 2007 (Rule 81001) | |
| Clause 2.2(3) | 52 |
| Clause 3.2(1) | 46 |
| Clause 4.2(8), (9) | 1 |
| Clause 4.3(1) | 1 |
| Clause 4.4(1)(b) | 1 |
| Clause 4.11(1) | 1 |
| Clause 6.1(2) | 22 |
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NZ Gazette 2013, No 146
✨ LLM interpretation of page content
🏭
Authorised Futures Dealers Notice for JPMorgan Chase Bank and J.P. Morgan Australia Limited
(continued from previous page)
🏭 Trade, Customs & Industry31 October 2013
Securities Markets Act 1988, Futures Dealers, JPMorgan Chase Bank, J.P. Morgan Australia Limited, Authorisation
- Elaine Campbell, Head of Compliance Monitoring, Financial Markets Authority
🚂 Notification of Exemptions From Land Transport Rules
🚂 Transport & CommunicationsLand Transport Act 1998, Exemptions, Land Transport Rules, NZ Transport Agency
- Angela Duncan, Managing Counsel (Rules), NZ Transport Agency