3.4.3A Duty to Monitor for Trading Misconduct | Rulebooks

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Futures Trading Rules

Chapter 3 Conduct of Members, Approved Traders and Representatives 3. Conduct of Members, Approved Traders and Registered Representatives 3.4 Trading Practices and Conduct Rules of Members, Approved Traders and Registered Representatives

3.4.3A Duty to Monitor for Trading Misconduct

A Member must have in place processes to review orders and trades for the purpose of detecting suspicious trading behaviour.

Refer to Practice Note 3.4.3A.

Added on 15 March 2013 15 March 2013.