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Securities Commission Policy in Respect of Futures Dealer Authorisations
18 December 2002
TABLE OF CONTENTS
Download the Practice Note in PDF format (158Kb)
- PART 1. INTRODUCTION
- PART 2. BACKGROUND
- PART 3. PRINCIPLES OF REGULATION
- PART 4. ISSUES AND PROPOSALS
- PART 5. OPTION 1: EXCHANGE REGULATION
- PART 6. OPTION 2: SECURITIES COMMISSION OVERSIGHT
- PART 7. OPTION 3: THE COMPLIANCE REPORTER MODEL
- PART 8. OPTION 4: THE SELF-REGULATORY ORGANISATION MODEL
- PART 9. TIMING
- APPENDIX: QUESTIONS
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