Rule 3 – Compliance

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Summary of this Rule 3:

 

Rule 3 deals with Members’ requirements to comply with these Rules including the need for record keeping, the need to ensure all information kept and communicated is accurate, and that all complaints are documented and archived properly. This Rule also sets out the role of the Exchange Compliance Officer and the Compliance Committee, and what these two functions are required to do to ensure compliance with the Rules.

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