Versions

 

13.5.1

A Trading Member or its Trading Representative must not:—

(1) accept a share in the profits of a customer's account carried on the books of the Trading Member or have any arrangement with a customer to share in the profits of that account;
(2) have any arrangement with a third party to allocate profits or losses to a customer's account carried on the books of the Trading Member; or
(3) lead a customer to believe that the customer will not suffer loss as a result of opening an account or dealings.

Amended on 1 July 20161 July 2016.