Whole Section

  • 4.9 Control of Operations

    • 4.9.1

      A Trading Member must establish and maintain adequate internal control systems, commensurate with the nature, scale and complexity of the business of the Trading Member.

      Added on 3 June 20193 June 2019.

    • 4.9.2

      A Trading Member must, where appropriate, establish internal policies and procedures to restrict the flow of material non-public information between persons and departments within the Trading Member.

      Added on 3 June 20193 June 2019.

    • 4.9.3

      A Trading Member must have processes in place to minimise and manage any conflicts of interest, including but not limited to separating its front and back office functions.

      Refer to Practice Note 4.9.3.

      Added on 3 June 20193 June 2019.