Whole Section

  • 12.23 Application of Chapter 12

    • 12.23.1

      The following Rules shall not apply to a Trading Member that holds a licence specified in Rule 4.1.1(1)(b).

      Rule Heading
      12.3.1,
      12.3.2,
      12.3.3,
      12.3.4,
      12.3.5
      Customer Accounts
      12.3A Customer Education
      12.4 Trading Authority
      12.8.2,
      12.8.3
      Amendment of Contract
      12.9 Communications with Third Parties
      12.10 Payment to Customers
      12.15 Stock Account
      [Deleted] [Deleted]
      12.17 Trading by Employees and Agents

      Added on 19 May 201419 May 2014 and amended on 1 July 20161 July 2016.

    • 12.23.2

      A Trading Member that holds a licence specified in Rule 4.1.1(1)(b) shall comply with such requirements established by the Relevant Regulatory Authority, if any, and principles of good business practice in relation to the areas set out in Rule 12.23.1.

      Added on 19 May 201419 May 2014.