Whole Section

  • 12.2 Confidentiality of Customer's Information

    • 12.2.1

      A Trading Member and its Trading Representative must maintain confidentiality of a customer's information, unless:—

      (1) the prior consent of the customer for the disclosure of the information is obtained;
      (2) the disclosure is for the effective execution of the customer's order;
      (3) the disclosure is necessary for the operations and risk management of the Trading Member if these functions have been outsourced by the Trading Member; or
      (4) the disclosure is required under the law or under the Rules.
    • 12.2.2

      A Trading Member must ensure that a person to whom it discloses a customer's information under Rules 12.2.1(2) and (3) maintains confidentiality of such information.