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ביצוע וסליקת פעולות אצל ברוקרים/קסטודיאנים


ביצוע הוראות בניירות ערך זרים מותנה באישור הברוקרים לצורך שליחתן לבורסה הרלוונטית. יתכן שתהיה מניעה לרכוש או להחזיק ניירות ערך זרים באמצעות הבנק, בהתאם למדיניות הקסטודיאנים לצורך סליקת העסקאות. 
הודעות שוטפות אשר יועברו מהקסטודיאנים לעניין מדיניות החזקה או סליקה של ניירות ערך זרים יפורסמו באתר הבנק, והאפשרות לסחור/ לסלוק סוגי ניירות ערך זרים תתעדכן בהתאם. 
במקרים בהם תוגבל האפשרות על ידי הקסטודיאן/ הברוקר לבצע פעולות בניירות ערך ספציפיים, תפורסם הודעה על כך בהקדם האפשרי באתר האינטרנט של הבנק, תוך עידכון במידת הצורך ללקוחות המחזיקים בסוגי ניירות ערך אלו. 


הודעות מברוקרים/קסטודיאנים

  • הודעת Bank of New York Mellon לגבי ניירות CRB (התקבלה בתאריך 2/7/2020)  

Update: Cannabis Related Investments

In recent years, several international jurisdictions have relaxed cannabis1 enforcement or have legalized cannabis for medical and/or recreational purposes. In EMEA, while laws vary by jurisdiction, an increasing number recognize certain medicinal cannabis production, supply and use as being lawful or tolerated. In Canada, medicinal and recreational use is legal.

Cannabis-related business (CRB) activity in certain circumstances remains illegal in many jurisdictions, including at the U.S. federal level.

In response to recent legislation changes, last year BNY Mellon rolled out the Tier I Global CRB Policy, which notes that “Permitted Business Activities” may be subject to additional regional and local restrictions based on applicable legal and regulatory requirements. These activities include services when provided for the Company’s clients in relation to Permitted Securities.

Those securities that are permitted include Securities issued by CRBs that are listed on the New York Stock Exchange (NYSE), National Association of Securities Dealers Automated Quotations (NASDAQ), the Toronto Stock Exchange (TSX), and the TSX Venture (TSX-V), and such other securities as may be approved from time to time by our internal governance committees.

In EMEA, the Tier II EMEA CRB Policy has undergone legal and compliance reviews and will have a effective date of July 1, 2020. This policy is set to align with the previously communicated global policy; except where there are further restrictions under local law.

 

At this point in time, the only additional restrictions specific to the EMEA policy are:

In relation to the UK

 BNY Mellon legal entities and branches established in the UK will only support Permitted Business Activity in relation to Permitted Securities of a CRB solely conductin activities in relation to medicinal cannabis under license in the UK and/or activities solely in relation to medicinal cannabis outside of the UK that would be capable of licensing in the UK.

 

 In relation to the Netherlands

 The Bank of New York Mellon SA/NV, Amsterdam Branch will only support Permitted Business Activity in relation to Permitted Securities for a CRB solely conducting activities in relation to ’Exempt Cannabis’ or a CRB solely conducting activities in another jurisdiction that would be legal if undertaken in the Netherlands.

 

CRB securities that were held with BNY Mellon prior to the effective date of the policy, which remain under the same beneficial owner, will continue to be serviced by BNY 

Mellon unless required to be divested by our internal governance committee. However, additional CRB securities that do not meet the requirements outlined in this notice will not be accepted.

 

BNY Mellon continues to monitor trends in CRB transactions and may impose additional restrictions or require additional information in the future. BNY Mellon also has the right to reject any deposit, regardless of the price or market.