Notice

Attestation for trading on behalf of New Zealand Customers

What's this about:
Notice reference number: 0047.18.01
Date published: 17/01/18
Effective as of: 17/01/18
Last updated: 17/01/18

This is a reminder that under ASX 24 Operating Rule 1801 and related Procedure, a Trading Participant (other than a Principal Trader) must provide an annual attestation before 31 January each year regarding its activity for the previous calendar year stating whether it is or is not required to be licensed as a derivatives issuer under Part 6 of the NZ Financial Markets Conduct Act 2013 and, where it is required to be licensed, that it:

•           holds a current licence: and

•           has made the disclosures to new clients set out in ASX24 Procedure 1802(2).

The exact wording of the attestation is set out in ASX 24 Operating Rules Procedure 1801.

ASX 24 Operating Rules Guidance Note 8 Notification Obligations has been updated to reflect this requirement (available here).

What do I need to do by when?

All Trading Participants that act on behalf of clients should provide the attestation by no later than 31 January 2018.

Need more information?

Issued by

Bill Woods, Principal Adviser

Contact information

Bill Woods
Disclaimer