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  • NZX Issue Of Ordinary Shares

    Date 18/09/2020

    This attached notice is given under NZX Listing Rule 3.13.1 and relates to the issue of ordinary shares in NZX Limited (NZX) under the NZX Dividend Reinvestment Plan.

  • Statement Of CFTC Commissioner Dan M. Berkovitz Regarding Part 190 Bankruptcy Regulations, Supplemental Proposal

    Date 18/09/2020

    The part 190 rulemaking supplemental notice of proposed rulemaking (Supplemental NPRM) addresses a potential unintended outcome of the original NPRM identified in a number of comments on the proposal.  These comments stated that certain provisions in the original proposed rule related to the bankruptcy of a derivatives clearing organization (DCO) could have significant, unintended and detrimental impacts on various market participants with contracts cleared at the DCO.  The Supplemental NPRM presents new, alternative provisions governing DCO bankruptcy that are intended to avoid these impacts.  In issuing the Supplemental NPRM, the Commission seeks public comment on these alternative provisions.  

  • Statement Of CFTC Commissioner Dan M. Berkovitz Regarding Registration With Alternative Compliance For Non-U.S. Derivatives Clearing Organizations

    Date 18/09/2020

    I support today’s final rule permitting derivatives clearing organizations (DCOs) organized outside of the United States (non-U.S. DCOs) to register with the Commission and provide clearing to U.S. customers, yet comply with certain DCO Core Principles through their home country regulatory regime.  This final rule maintains the Commission’s authority to protect U.S. customers and markets, while also recognizing the interests of foreign regulators in supervising DCOs located in their home jurisdictions.  It will foster U.S. market participants’ access to foreign clearing organizations while maintaining key customer protections.

  • Statement Of CFTC Commissioner Dawn D. Stump Regarding Registration With Alternative Compliance For Non-U.S. Derivatives Clearing Organizations

    Date 18/09/2020

    Throughout my tenure at the Commodity Futures Trading Commission (CFTC or Commission), I have discussed the benefits of shared goals, cooperation, and mutual recognition (often referred to as “deference”) among regulators.  In early 2019, I wrote an opinion piece in the Financial Times in which I appealed to our international regulatory partners to recommit to a coordinated approach in order to ensure that our alliance remains strong rather than fractured.   When the CFTC proposed this rulemaking last summer, I committed to advancing a coordinated approach to the regulation of global central counterparties (CCPs).  I expressed both my belief that the proposal we put forward was an important first step in that process, and my sincere hope that our international regulatory partners would also take the opportunity to reset and recognize that our shared interest in advancing derivatives clearing would be best achieved by respecting each jurisdiction’s successful implementation of the principles agreed to by the Group of 20 Nations (G-20) in 2009.

  • Statement Of CFTC Commissioner Rostin Behnam Regarding Registration with Alternative Compliance For Non-U.S. DCOs

    Date 18/09/2020

    I support today’s final rule permitting derivatives clearing organizations (DCOs) organized outside of the United States (non-U.S. DCOs) that the CFTC determines do not pose substantial risk to the U.S. financial system to register with the Commission and comply with the core principles applicable to DCOs (Core Principles) set forth in the Commodity Exchange Act (CEA) through compliance with their home country regulatory regime.  This registration category establishes a new model for regulatory deference aimed at reducing regulatory burdens and ongoing compliance costs for non-U.S. clearing organizations.