Versions

 

5.7.2

In this Rule 5.7:

(a) "Prescribed Person" means:
(i) the Trading Representative's Trading Member;
(ii) a Director of the Trading Member;
(iii) an employee, Trading Representative or agent of the Trading Member;
(iv) a person, a group of persons, a Corporation or a group of Corporations, or family trusts, whom the Trading Member, or any Director, Officer, Trading Representative, employee or agent of the Trading Member is associated with or connected to.
(b) "own account" means an account in which the Trading Member or the Trading Representative has a beneficial interest; and
(c) a reference to a person associated with another person shall have the meaning set out in section 3 of the Securities and Futures Act.

Refer to Practice Note 5.7.

Added on 3 June 20193 June 2019.