Chapter 11 — Capital and Financial Requirements
- 11.1 Definitions and Interpretation
- 11.1A Financial Requirement for Trading Members
- 11.2 Base Capital Requirement [Rule has been deleted.]
- 11.2A [Rule has been deleted.]
- 11.3 Financial Resources Requirement
- 11.4 Aggregate Indebtedness Requirement
- 11.5 Powers to Impose Other Requirements
- 11.6 [Rule has been deleted.]
- 11.7 Exposure to Single Customer
- 11.7A Other Requirements for Exposure to Single Customer
- 11.8 Exposure to Single Security
- 11.8A Other Requirements for Exposure to Single Security
- 11.9 Margin Financing
- 11.10 Submission of Returns
- 11.11 Annual Financial Audit
- 11.12 Provision in Annual Accounts
-
11.13 Other Financial Requirements
- 11.13.1 Reduction in Paid-Up Ordinary Share Capital or Paid-Up Irredeemable and Non-Cumulative Preference Share Capital
- 11.13.2 Preference Shares
- 11.13.3 Qualifying Subordinated Loan
- 11.13.4 Making of Unsecured Loan or Advance, Payment of Dividend or Director's Fees or Increase in Director's Remuneration
- 11.13.5
- 11.14 Register of Connected Persons