Whole Section

  • 3.5

    Rule 5.12.2(e): Whether parties involved in the transaction are connected or associated with each other.

    Added on 3 June 20193 June 2019.

    • 3.5.1

      A concern here might arise if the security or futures contract is held in the name of a colluding party but the market risk actually remains with the seller. There may effectively be no change in beneficial interest.

      Added on 3 June 20193 June 2019.