Whole Section

  • 1. Introduction

    • 1.1

      Rule 4.15.2(d) states that prior to opening a customer account, a Trading Member shall satisfy itself that it has understood each customer's risk appetite and investment objectives (if applicable).

      Added on 3 June 20193 June 2019.

    • 1.2

      This Practice Note provides guidance on the procedures to understand a customer's risk appetite and investment objectives.

      Added on 3 June 20193 June 2019.