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4.38.1

A Trading Member and its Trading Representatives may receive goods and services from a broker for directing business to the broker if:

(a) the goods and services can reasonably be expected to assist in the provision of services to the customer;
(b) records of the goods and services received are maintained; and
(c) there are appropriate internal controls and procedures for such arrangements.

Refer to Practice Note 4.38.

Added on 3 June 20193 June 2019.