Versions

 

3.1 Overview

This Chapter is targeted at the ongoing obligations of Members, Approved Traders and Registered Representatives upon admission to or registration with the Exchange. This Chapter is divided into three (3) main parts: (a) duties applicable to all Members, Approved Traders and Registered Representatives; (b) duties applicable to Members engaging in Agency Trades and their Approved Traders and Registered Representatives; and (c) trading practices. The obligations of Members, Approved Traders and Registered Representatives are more onerous when a Member undertakes Agency Trades and handles Customer monies as opposed to when it engages solely in House Trades.