Whole Section

  • 1. Introduction

    • 1.1

      Rule 4.9.3 provides that a Trading Member must have processes in place to minimise and manage conflicts of interest, including but not limited to separating its front and back office functions.

      Added on 3 June 20193 June 2019.

    • 1.2

      This Practice Note provides guidance on how front office and back office functions of Trading Members should be separated.

      Added on 3 June 20193 June 2019.