#2914249
Australian Securities Exchange Limited ag trádáil mar ASX 24,
Australian Securities Exchange Limited trading as ASX 24,
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#1902564
I Roinn 23(A) den Securities Exchange Act of 1934, sainmhínítear an téarma “gníomhaireacht imréitigh” mar aon duine a ghníomhaíonn mar idirghabhálaí i ndéanamh íocaíochtaí nó seachadtaí, nó i ndéanamh an dá rud, i ndáil le hidirbhearta in urrúis, nó aon duine a sholáthraíonn saoráidí chun comparáid a dhéanamh idir sonraí maidir le téarmaí socraíochta idirbheart urrús, ionas go laghdaítear an líon socraíochtaí is cuid d'idirbhearta urrús, nó saoráidí chun freagrachtaí socraíochta urrús a leithdháileadh.
The term ‘clearing agency’ is defined in Section 23(A) of the Securities Exchange Act of 1934 as any person who acts as an intermediary in making payments or deliveries or both in connection with transactions in securities or who provides facilities for the comparison of data regarding the terms of settlement of securities transactions, to reduce the number of settlements of securities transactions, or for the allocation of securities settlement responsibilities.
#1902640
Na rialacha is infheidhme maidir le gníomhaireachtaí imréitigh cumhdaithe a leagtar síos i Ranna 3(a)(23) agus 17A den Securities Exchange Act of 1934, i dTeidil VII agus VIII den Dodd-Frank Wall Street Reform and Consumer Protection Act agus i rialacháin a ghlac an U.S. Securities and Exchange Commission faoi na hachtanna sin, chun críocha Airteagal 25 de Rialachán (AE) Uimh. 648/2012 measfar socruithe dlíthiúla agus maoirseachta Stáit Aontaithe Mheiriceá maidir le contrapháirtithe lárnacha (CPLanna) nach mór dóibh na rialacha sin a chomhlíonadh, measfar iad a bheith coibhéiseach leis na ceanglais a leagtar síos i Rialachán (AE) Uimh. 648/2012 i gcás ina gcuimsítear i rialacha agus nósanna inmheánacha CPL den sórt sin bearta sonracha bainistithe riosca lena n-áirithítear gur ar bhonn na bparaiméadar a leanas a ríomhtar agus a bhailítear éarlaisí tosaigh:
For the purposes of Article 25 of Regulation (EU) No 648/2012, the legal and supervisory arrangements of the United States of America for central counterparties (CCPs) which must comply with the rules applicable to covered clearing agencies laid down in Sections 3(a)(23) and 17A of the Securities Exchange Act of 1934, in Titles VII and VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act and in regulations adopted by the U.S. Securities and Exchange Commission thereunder, shall be considered equivalent to the requirements laid down in Regulation (EU) No 648/2012 where the internal rules and procedures of such a CCP include specific risk management measures ensuring that initial margins are calculated and collected on the basis of the following parameters:
#1902659
Ráiteas i ndáil le contrapháirtithe lárnacha atá údaraithe faoin Rialachán maidir le Bonneagar na Margaí Eorpacha a bheith ag féachaint le clárú mar ghníomhaireacht imréitigh nó le díolúintí a iarraidh ó cheanglais áirithe faoin Securities Exhange Act of 1934), [Eisiúint Uimh. 34-90492], a eisíodh an 30 Samhain 2020.
Statement on Central Counterparties Authorized under the European Markets Infrastructure Regulation Seeking to Register as a Clearing Agency or to Request Exemptions from Certain Requirements Under the Securities Exchange Act of 1934, [Release No. 34-90492], issued on 30 November 2020.
#1902660
Na ceanglais atá ceangailteach ó thaobh dlí agus a bhfuil feidhm acu i SAM maidir le CPLanna a dhéanann SEC a mhaoirsiú, leagtar amach iad sna rialacha is infheidhme maidir le “gníomhaireachtaí imréitigh’ atá sa Securities Exchange Act of 1934 (Acht 1934 um Mhalartú Urrús, “an tAcht um Mhalartú”), sa Dodd-Frank Wall Street Reform and Consumer Protection Act (Acht Dodd-Frank um Wall Street a Athchóiriú agus Cosaint Tomhaltóirí, “Acht Dodd-Frank”) agus sna rialacháin a ghlac SEC faoi na hachtanna sin. Thairis sin, na rialacha, na beartais agus na nósanna imeachta maidir le CPLanna a chláraigh SEC, tá siad ceangailteach ar an CCP ó thaobh dlí. An 1 Deireadh Fómhair 2020, d'eisigh SEC Tuarascáil Foirne ina ndéantar cur síos ar na rialacha is infheidhme agus an fheidhm atá acu maidir le CPLanna a ndéanann SEC maoirseacht orthu.
The legally binding requirements applicable in the USA to CCPs supervised by the SEC are set out in the rules applicable to ‘clearing agencies’ contained in the Securities Exchange Act of 1934 (‘the Exchange Act’), the Dodd-Frank Wall Street Reform and Consumer Protection Act (‘the Dodd-Frank Act’) and the regulations adopted by the SEC thereunder. Moreover, the rules, policies and procedures of CCPs that have been registered by the SEC are legally binding upon the CCP. On 1 October 2020, the SEC issued a Staff Report describing the applicable rules and how they apply to CCPs supervised by the SEC.
#1979013
Ba cheart a mheas, dá bhrí sin, go bhforáiltear leis na bearta sin maidir le cur i bhfeidhm éifeachtach na socruithe ábhartha dlí, rialála agus forfheidhmiúcháin faoi Acht Dodd-Frank, faoin Commodity Exchange Act, faoin Securities Exchange Act, faoin Riail Éarlaisí Babhtála chomh maith le Rialacháin CFTC agus le SEC, i gcás inarb infheidhme, ar bhealach cothromasach agus neamhshaofa chun maoirseacht agus forfheidhmiú éifeachtach a áirithiú.
Those measures should therefore be considered to provide for the effective application of the relevant legal, regulatory and enforcement arrangements under the Dodd-Frank Act, the Commodity Exchange Act, the Securities Exchange Act, the Swap Margin Rule as well as CFTC and SEC Regulations where applicable in an equitable and non-distortive manner so as to ensure effective supervision and enforcement.
#2248315
Leagtar síos na rialacha príomhúla is infheidhme maidir le CPLanna atá cáilithe mar ghníomhaireachtaí imréitigh cumhdaithe i Ranna 3(a)(23) agus 17A den Securities Exchange Act of 1934 (“an tAcht Malartán”), i dTeidil VII agus VIII den Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Acht Dodd-Frank”) agus sna rialacháin arna nglacadh ag SEC fúthu sin, agus go háirithe Riail 17Ad-22 (“rialacha príomhúla”).
The primary rules applicable to CCPs qualified as covered clearing agencies are laid down in Sections 3(a)(23) and 17A of the Securities Exchange Act of 1934 (‘the Exchange Act’), Titles VII and VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (‘the Dodd-Frank Act’) and in regulations adopted by the SEC thereunder, and in particular Rule 17Ad-22 (‘primary rules’).
#2248371
I Roinn 3(a)(1) den Securities Exchange Act of 1934 (“an tAcht Malartán”), sainmhínítear malartán mar aon eagraíocht, comhlachas nó grúpa daoine a chuimsíonn, a chothaíonn, nó a sholáthraíonn margadh nó saoráidí le haghaidh ceannaitheoirí agus díoltóirí urrús a thabhairt le chéile nó chun comhlíonadh a dhéanamh ar shlí eile ar na feidhmeanna maidir le hurrúis is gnách le stocmhalartán a chomhlíonadh.
Section 3(a)(1) of the Securities Exchange Act of 1934 (the ‘Exchange Act’) defines an exchange as any organisation, association, or group of persons which constitutes, maintains, or provides a market place or facilities for bringing together purchasers and sellers of securities or for otherwise performing with respect to securities the functions commonly performed by a stock exchange.