Practice Notes
- Practice Note 3.7 and 3.9 Remote Trading Member Exposure to Single Customer and Single Security
- Practice Note 4.2 Direct Market Access And Sponsored Access
- Practice Note 4.9.3 Conflicts of Interest
- Practice Note 4.10.1(b) Pre Execution Checks
- Practice Note 4.10.1(c) Error Prevention Alerts
- Practice Note 4.10.2 Firm Level Monitoring of Capital and Financial Requirements and Prudential Limits
- Practice Note 4.12 Business Continuity Requirements
- Practice Note 4.15.2(a) and (b) Opening of Customer Accounts: Obtaining Adequate Particulars, Verification of Identity, and Verification of Authority to Trade
- Practice Note 4.15.2(d) Understanding a Customer's Risk Appetite and Investment Objectives
- Practice Note 4.15.3 Additional Safeguards for Trading by Young Investors
- Practice Note 4.15.5 Approval of Customer Accounts
- Practice Note 4.18 Education for Internet Trading Customers
- Practice Note 4.24.3(c) Evidence of Informed Consent for Contract Notes in Electronic Form
- Practice Note 4.38 Soft Dollar Receipts or Payments
- Practice Note 5.7 Precedence of Customer Orders
- Practice Note 5.12 False Trading and Market Rigging
- Practice Note 5.12.3 Transaction with no change in beneficial ownership
- Practice Note 5.12.9 Processes for Review of Orders and Trades
- Practice Note 8.11.1 Designated Instruments
- Practice Note 8.13 and 8.15 Characteristics of Suspension and Trading Halt
- Practice Note 8.13.4 and 8.15.7 Approval of Off-Market Trades in a Security or Futures Contract Subject to Suspension or Trading Halt
- Practice Note 9.6.4(b) Money Received on Account of Customer
- Practice Note 11.1.2 and 11.3 Trade Cancellation Procedures
- Practice Note 11.5.5(c) Alternative Reference Price For No Cancellation Range