Whole Section

  • 1. Introduction

    • 1.1

      Rule 5.7.1 states that save in specified situations, neither a Trading Member nor a Trading Representative shall deal in securities or futures contracts for its own account or for a Prescribed Person's account if the Trading Representative has an unexecuted order on the same terms from a customer.

      Added on 3 June 20193 June 2019.

    • 1.2

      Rule 5.7.2 defines "Prescribed Person" as including 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.

      Added on 3 June 20193 June 2019.