Regulatory Notice 3.3.8 — Recording of Orders (1 April 2014) Futures Trading Rules >> Regulatory Notices
3.3.29 Reporting Obligations of Auditors (1 April 2014) Futures Trading Rules >> Chapter 3 Conduct of Members, Approved Traders and Representatives >> 3. Conduct of Members, Approved Traders and Registered Representatives >> 3.3 Duties of Members Undertaking Agency Trades
2.6.4 Audit Trails and Records (1 April 2014) Futures Trading Rules >> Chapter 2 Access and Membership >> 2.6 Technical Matters and Risk Management Controls >> 2. Overview of Access and Membership
7.2.4 Restriction of Activities of Members, Approved Traders or Registered Representatives (1 April 2014) Futures Trading Rules >> Chapter 7 Adverse Events, Rule Violations and Disciplinary Action >> 7. Overview of Adverse Events, Rule Violations and Disciplinary Action >> 7.2 Exchange's Disciplinary Powers
7.4.1 Commencement of Investigations (1 April 2014) Futures Trading Rules >> Chapter 7 Adverse Events, Rule Violations and Disciplinary Action >> 7. Overview of Adverse Events, Rule Violations and Disciplinary Action >> 7.4 Investigations by the Exchange