For the purposes of this Rule 3.10, the terms:
- "acceptable collateral", "debit balance", "equity", "free financial resources" and "margin exposure" each has the meaning ascribed to them in Regulation 24(6) of the SFR (Financial and Margin Requirements);
- “assets” in relation to a customer has the meaning ascribed to “customer’s assets” in Regulation 15 of the SFR (Licensing and Conduct of Business);
- “cash balance" includes unutilised cash deposits, and cash from sales proceeds or corporate action events; and
- “retail customer” has the meaning ascribed to it in Regulation 2 of the SFR (Licensing and Conduct of Business).
Added on 3 June 20193 June 2019 and amended on 1 April 2025.