Jurisdictions. August 2017
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1 Jurisdictions August 2017 Legal Disclaimer Participants, users and prospective users of ICE Futures Canada are reminded that they are at all times responsible for ensuring that they are acting in compliance with applicable law and/or regulatory requirements and should therefore seek their own legal and tax advice when considering entering orders on ICE Futures Canada via the ICE Platform from outside Canada. Copyright Intercontinental Exchange, Inc. All Rights Reserved.
2 Table of Contents 1 The AMERICAs and the CARIBBEAN 1.1 Canada 1.2 United States of America 1.3 Panama 1.4 Bermuda 1.5 The British Virgin Islands 2 EUROPE 2.1 Czech Republic 2.2 Denmark 2.3 France 2.4 Gibraltar 2.5 Iceland 2.6 Lithuania (Republic of) 2.7 Luxembourg 2.8 Switzerland 2.9 United Kingdom 3 PACIFIC RIM & ASIA 3.1 Australia 3.2 China 3.3 Japan 4 OTHER 4.1 Israel 4.2 Mauritius ICE Futures Canada Jurisdiction Document August 2017 Page 2 of 6
3 1. NORTH AMERICA and the CARIBBEAN 1.1 Canada ICE Futures Canada, Inc. (IFCA) is registered as a commodity futures exchange and a selfregulatory organization under The Commodity Futures Act, 1996, C.C.S.M. c. C152. The Manitoba Securities Commission is IFCA s primary regulator. In other provinces of Canada, including British Columbia, Alberta, Saskatchewan, Ontario, and Québec, the Exchange operates under a regulatory Memorandum of Understanding that accepts The Manitoba Securities Commission as the Exchange s primary regulator in Canada. The Québec Autorité des marchés financiers is an Exempting Regulator, having issued Decision No PDG-0034 to ICE Futures Canada on February 23, The Ontario Securities Commission is an Exempting Regulator, having issued an order to ICE Futures Canada on September 25, The Alberta Securities Commission is an Exempting Regulator, having issued an order to ICE Futures Canada on May 30, United States of America On August 25, 2015 the Commodity Futures Trading Commission (CFTC) issued an Order of Registration to ICE Futures Canada, Inc. (IFCA) pursuant to which IFCA is entitled to permit identified members and other participants located in the United States to enter trades directly into the IFCA order entry and trade matching system. A link to the order can be found here: Prior to August 25, 2015, IFCA operated under no-action relief that had been issued by staff of the CFTC on December 15, A Part order was issued by the CFTC to IFCA in May At this time five (5) Canadian FCMs are registered and entitled, under certain conditions, to trade ICE Futures Canada products for U.S. based entities without registering an FCM with the CFTC. Canadian FCMs wishing to seek registration as a Part Participant should contact the legal department of ICE Futures Canada prior to undertaking any activities with US resident entities. 1.3 Panama The Comisión Nacional De Valores República de Panamá advised through correspondence dated April and May 2011, that the Exchange does not require a license or authorization in order to offer access to its electronic trading screens to persons and companies in Panama provide such entities trade solely for their own account. Persons and Companies that collect monies from, or trade for, third parties resident in Panama must first obtain a license. Contact should be made with the Comisión Nacional De Valores, and information is available on the website at ICE Futures Canada Jurisdiction Document August 2017 Page 3 of 6
4 1.4 Bermuda On April 6, 2009, the Bermuda Monetary Authority (BMA) confirmed that the Exchange does not require any formal license or authorization in order to offer access to its electronic trading screens to companies based in Bermuda. However, any Bermuda-based entity should consult with the BMA prior to seeking access. 1.5 The British Virgin Islands On December 23, 2013 the BVI Financial Services Commission (the BVIFSC ) advised that the Exchange, as a regulated exchange, does not require an investment business license to offer its products through direct market access to market participants in the British Virgin Islands. 2. EUROPE 2.1 Czech Republic By letter dated May 21, 2009, the Czech National Bank, Licensing and Enforcement Department, Securities and Regulated Markets Division, confirmed that there are no legal impediments or restrictions to ICE Futures Canada offering its trading screens to investment firms based in the Czech Republic. 2.2 Denmark By letter dated June 19, 2009, Finanstilsynet confirmed that ICE Futures Canada does not require authorization under the Danish Securities Trading Act to grant Danish security dealers access to ICE Futures Canada s Trading Systems. 2.3 France The Exchange has received advice that ministerial recognition status is not required provided that: a) the Exchange does not have any registered participants (or members) in France; b) a French subsidiary of an Exchange participant which is located outside of France will route its orders to an affiliated company for execution on the Exchange s trading system; c) the French subsidiary company may not solicit orders from French retail clients; and d) the Exchange may not conduct any soliciting or promotional activities in France. 2.4 Gibraltar By letter dated April 24, 2009, the Financial Services Commission of Gibraltar confirmed that there are no legal or regulatory restrictions on ICE Futures Canada placing screens in Gibraltar. Consequently, Gibraltar based companies undertaking proprietary trading may access the ICE Futures Canada markets by order-routing via an ICE Futures Canada registered participant. 2.5 Iceland By letter dated June 22, 2009 the Financial Supervisory Authority of Iceland confirmed that there is no licensing or authorization required for ICE Futures Canada to make its products available to investment firms properly authorized under Article 3 of the Act on Financial Undertakings, No 161/2002, using order routing services of Futures Commission Merchants which are registered ICE Futures Canada Jurisdiction Document August 2017 Page 4 of 6
5 participants with ICE Futures Canada. Any ICE Futures Canada participant that facilitates such access should consider its own legal and/or regulatory position. 2.6 Lithuania (Republic of) On May 15, 2009, the Lithuanian Securities Commission confirmed that there are no legal barriers to the placing of screens in the Republic of Lithuania for the trading of ICE Futures Canada contracts by firms located in Lithuania. Firms located in Lithuania that become registered participants with ICE Futures Canada will be supervised by the Lithuanian Securities Commission. 2.7 Luxembourg The Luxembourg Commission de Surveillance du Secteur Financier advised by letter dated May 8, 2009 that ICE Futures Canada does not require authorization to offer access to its markets via electronic trading screens to market participants resident in Luxembourg, or to permit firms located in Luxembourg to become registered participants. 2.8 Switzerland By decree dated July 13, 2016 the Swiss Financial Market Supervisory Authority (FINMA) granted an order which recognizes ICE Futures Canada as a foreign trading venue pursuant to Article 41 and Article 159 of the Swiss Financial Markets Infrastructure Act. IFCA is permitted to grant Swiss participants supervised by FINMA direct access to the ICE Trading System. The admission of unregulated trade participants is subject to local law. The order is subject to other conditions and entities from Switzerland wishing to obtain direct trading access should contact the legal department for further details. 2.9 United Kingdom The Exchange offers access to its markets pursuant to the overseas persons exclusion contained in the Financial Services and Markets Act 2000 (Regulated Activities) Order The Exchange may not conduct any solicitation or promotional activities in the United Kingdom. 3. PACIFIC RIM & ASIA 3.1 Australia The Exchange has received advice that it can permit access to its markets without seeking an Australian Market License in the following limited circumstances: A Participant based outside of Australia may offer order-routing to Australian wholesale clients as defined in section 761G of the Australian Corporations Act) provided that the Participant is exempt from the requirement to hold an Australian Financial Services License by virtue of Class Order 04/829-CFTC-regulated financial services providers. Participants should seek their own Australian legal advice. Participants should not permit access to ICE Futures Canada in any other circumstance without first discussing with the Exchange. 3.2 China Companies registered in China wishing to trade ICE Futures Canada products from China, should approach the China Securities Regulatory Commission for permission to trade. ICE Futures Canada Jurisdiction Document August 2017 Page 5 of 6
6 3.3 Japan ICE Futures Canada has received legal advice that it does not require licensing or approval under the provisions of the Commodity Derivatives Act (CDA) of Japan in order to allow screen based trading to residents in Japan and/or to register residents in Japan as Participants, including in the category of Direct Access Trading Participants. FCMs, whether resident in Japan or not, may be required to be registered or licensed under the CDA and accordingly must seek independent legal advice prior to offering services to residents of Japan, and must ensure that they meet all legal and regulatory requirements. 4. OTHER 4.1 Israel Based on a pre-ruling issued by the Israel Securities Authority, ICE Futures Canada does not currently expect to be subject to exchange licensing requirements by virtue of the trading of ICE Futures Canada's products from Israel in circumstances where ICE Futures Canada is not soliciting or marketing its services or products in Israel, and where the trading is proprietary in nature (rather than for or on behalf of clients) via the direct access of the trading firm's affiliated company which is a registered participant of ICE Futures Canada and where the server is located outside of Israel. Each firm or person wishing to trade ICE Futures Canada products from Israel should obtain the permission of the Exchange before any trading is conducted. 4.2 Mauritius On the basis of legal advice, ICE Futures Canada is satisfied that there is no legal impediment to it permitting residents of Mauritius with access to its products. ICE Futures Canada does not solicit, or provide any inducements to trade, or provide advice relating to, trading or participating in trading in the products listed by it. Participants are reminded that it is their obligation to ensure that they meet all legal and regulatory requirements of Mauritius before providing trading services for Mauritius-based residents. ICE Futures Canada Jurisdiction Document August 2017 Page 6 of 6
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