Whole Section

  • 4.19 Trading by Employees and Agents

    • 4.19.1

      A Trading Member must have in place procedures to ensure that its Directors, Officers, Trading Representatives, employees and agents who are privy to confidential information relating to dealing in securities or futures contracts do not use such information to trade for their own benefit.

      Added on 3 June 20193 June 2019.

    • 4.19.2

      A Trading Member must have in place procedures to monitor the trading activities of its Directors, Officers, Trading Representatives, employees and agents whether those trading activities are conducted through the Trading Member or another Trading Member.

      Added on 3 June 20193 June 2019.