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5.14.2

A Trading Member must ensure that a dealing assistant solely performs an order entry role, and does not perform any regulated activity. Without limiting the generality of the foregoing, a dealing assistant shall not be permitted to:

(a) deal in securities or futures contracts, including but not limited to soliciting or inducing trades or otherwise deal in securities or futures contracts;
(b) exercise any discretion over the entry of orders;
(c) give investment advice or make recommendations to customers;
(d) accept instructions from customers;
(e) communicate with customers regarding settlement; or
(f) collect cash, cheques or share certificates on behalf of the Trading Member, designated Trading Representative(s) or customers.

Added on 3 June 20193 June 2019.