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13.10.2

A Trading Member must ensure that the order entry person does not:—

(1) deal in securities or trade in futures contracts;
(2) exercise any discretion over the entry of orders;
(3) give investment advice or make recommendations to customers;
(4) accept instructions from customers;
(5) communicate with customers regarding settlement; or
(6) collect cash, cheques or share certificates on behalf of the Trading Member, designated Trading Representative(s) or customers.

Amended on 3 April 20083 April 2008 and 8 October 20188 October 2018.