12.3.6 Risk Acknowledgement Statement

Past version: Effective up to 17 Sep 2012

Unless otherwise permitted by the Securities and Futures Act, a Trading Member must obtain a written acknowledgement from a customer that the customer is aware of the risk associated with holding and trading of securities and Futures Contracts. This Rule does not apply to a customer who is an accredited investor trading only in securities.

Amended on 3 April 20083 April 2008.