Rules 3.7.1 and 3.9.1 require Remote Trading Members to have in place adequate tools and procedures to monitor their exposure to a single customer or single security.

Added on 3 June 20193 June 2019.

A Remote Trading Member may be required to demonstrate the adequacy of such tools and procedures. This Practice Note explains the tools and procedures that a Remote Trading Member may have in place to satisfy the requirement for adequate tools and procedures.

Added on 3 June 20193 June 2019.