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CLTX Rulebook
Rule 1 – General Rules
1.1 Introduction to these Rules
1.2 Relations with other regulatory Authorities
1.3 Confidentiality
1.4 General Powers of Directors
1.5 Financial Powers
1.6 Exclusion of Liability
1.7 Trading Hours and Days
1.8 Member Responsibility
1.9 Responsible Individual Responsibility
1.10 Systems and Controls
Rule 2 – Membership
2.1 General Provisions
2.2 Categories of Membership
2.3 Membership Criteria
2.4 Application for Membership
2.5 Ongoing Notification Requirements
2.6 Scope of Participant Acitivities
2.7 Suspension and Expulsion
2.8 Appeals
2.9 Executing Transactions on the Cleartrade Platform
2.10 Responsible Individuals
Rule 2A – Base Capital and Other Ongoing Requirements
2A.1 Base Capital Requirement
2A.2 Deposit with Clearing Houses
2A.3 Maintenance of Reserve Fund and Risk Base Capital Requirements
2A.4 False Statements
2A.5 Keeping and Safeguarding of Books
2A.6 Auditors and Accounts
2A.7 Non-Compliance
Rule 3 – Compliance
3.1 Reporting Requirements
3.2 Accuracy of Information
3.3 Advertisements
3.4 Records of Compliants
3.5 Investigation of Complaints
3.6 Compliance Committee
3.7 Compliance Officer
3.8 Enquiries
3.9 Interviews
Rule 4 – Default
4.1 General
4.2 Default Committee
4.3 Events of Default
4.4 Declaration of Default
4.5 Notification
4.6 Procedures
4.7 Delegation of Functions
4.8 Costs
4.9 Co-operation with other bodies
4.10 Amendments
Rule 5 – Disciplinary
5.1 Notification of Breach
5.2 Acts of Misconduct and Breaches of these Rules
5.3 Conduct in relation to Trading
5.4 Investigations
5.5 Disciplinary Proceedings
5.6 Settlement
5.7 Sanctions
5.8 Publication of Findings
5.9 Appeal
5.10 Emergency Suspension
5.11 Summary Enforcement
5.12 Market Offences
Rule 6 – Registration of Contracts
6.1 Contracts with Clearing House
6.2 Transaction Records
6.3 Block Trade Facility
Rule 7 – Trading Rules
7.1 Generally
7.2 Trading Procedures
7.3 Contracts traded by Members on the Cleartrade Platform
7.4 Validity of Contracts
7.5 Trading Practices
7.6 Disclosure, Withdrawal and Withholding of Orders
7.7 Abuse of Orders
7.8 Traders
7.9 Price Limits
7.10 Emergency Closures
7.11 Trading Disputes
7.12 Telephone Market
7.13 Closing Prices
7.14 Dispute Resolution
7.15 Disorderly Trading
Rule 7A – Additional Requirements for Conduct of Business
7A.1 General Provisions on Client’s Moneys and Assets received by a Member
7A.2 Money received on account of Client
7A.3 Maintenance of Trust Account with Specified Financial Instituitions
7A.4 Client’s Money held with the Relevant Clearing House
7A.5 Withdrawal of Money from Trust Account
7A.6 Placement of Member’s Own Money in Trust Account
7A.7 No effect on Lawful Claims or Liens
7A.8 Duties of Member on Receipt of Client’s Assets
7A.9 Maintenance of Custody Account
7A.10 Sustainability of Custodian
7A.11 Client’s Assets held with Relevant Clearing House
7A.12 Withdrawal of Client’s Assets
7A.13 No Effect on Lawful Claims or Liens
7A.14 Daily Computation
7A.15 Client’s Moneys and Assets held by the Relevant Clearing House
7A.16 Priority to Client’s Orders
7A.17 Trading Against Client
7A.18 Risk Disclosure
7A.19 Provision of Statement of Account
7A.20 Documentation Required by the Exchange or the Relevant Clearing House
7A.21 Advertisement
7A.22 Trading Standards
Rule 8 – Dispute Resolution
8.1 Dispute Resolution
8.2 Arbitration
8.3 Role of the Relevant Clearing House
8.4 Other Legal Proceedings
8.5 Failure to Participate
8.6 Suspension
8.7 Cost of Arbitration
8.8 Jurisdiction
8.9 Service of Notices
8.10 Applicability of Rules
Rule 9 – Contracts – General Provisions
9.1 Administration Procedures
9.2 Admission of a Contract to Trading
9.3 Other Contracts
9.4 Contract Months or Contract Dates
9.5 Headings
9.6 War of Government Intervention
9.7 New Legislation
9.8 Arbitration
9.9 Law and Jurisdiction
9.10 Contract Security
9.11 Exchange Monitoring
9.12 Directors’ Powers
9.13 Settlement to Market
9.14 Application of General Rules and Rules
9.15 Further Amendment of Contract Rules
9.16 Regulatory Functions
9.17 Trade Emergency Committee
Rule 10 – Contract Procedures
Rule 11 – Relevant Clearing House
Personal Data Protection Statement
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