Rule Book
 

4.3 Appropriate organisation and registration obligations

4.3.1 Principle

1 The participant must:

  1. have a sufficient number of staff with the necessary specialist expertise, experience and training for stock exchange trading and its processing;
  2. issue appropriate internal guidelines and monitor compliance with the Rule Book;
  3. appoint one or more internal officers to support the participant and its staff in complying with the Rule Book; and
  4. register responsible persons, specifically traders, with the Exchange and report any changes to the Exchange immediately.

2 The Exchange may suspend or revoke existing registrations.

3 The corresponding details are laid down in the "Admission of Participants" Directive.




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