Chapter 3 Capital and Financial Requirements
- 3.1 Interpretation
- 3.2 Base Capital Requirement
- 3.3 Financial Resources Requirement
- 3.4 Aggregate Indebtedness Requirement
- 3.5 Powers to Impose Other Requirements
- 3.6 Exposure to Single Customer
- 3.7 Remote Trading Member: Exposure to Single Customer
- 3.8 Exposure to Single Security
- 3.9 Remote Trading Members: Exposure to Single Security
- 3.10 Margin Financing
- 3.11 Borrowing and Lending of Specified Products
- 3.12 Submission of Returns
- 3.13 Annual Financial Audit
- 3.14 Provision in Annual Accounts
- 3.15 Other Financial Requirements