Chapter 13 — Trading Practices and Conduct
- 13.1 Acting as Principal
- 13.2 Acting as Agent
- 13.3 Separation of Customer and Proprietary Trading Activities
- 13.4 Customer Orders — Precedence
- 13.5 Arrangement with Customers
- 13.5A Margin Management for Trading Members In Respect of Any Margins from Customers
- 13.6 Unauthorised Trading
- 13.7 Excessive Trading
- 13.8 Market Manipulation and False Market
- 13.9 Record of Orders
- 13.10 Order Entry Person
- 13.11 Responsibility for Orders
- 13.12 Identification and Password
- 13.13 Off Premises Broking
- 13.14 Miscellaneous