Status: You are viewing the version of the handbook as on 2009-03-31.

regulatory provisions

      1. (a) (in accordance with section 302 of the Act (Interpretation)) (in relation to an investment exchange or clearing house) the rules of or any guidance issued by the investment exchange or clearing house;
      1. (b) (in relation to an investment exchange):
        1. (i) any arrangements which it has made, or proposes to make, for the provision of clearing services in respect of transactions effected on the exchange; and
        1. (ii) if it provides, or proposes to provide, clearing services in respect of transactions other than those effected 52on the 52exchange, the criteria which it applies, or proposes to apply, when determining to whom it will provide those services;
      1. (c) (in relation to a clearing house):
        1. (i) if it makes, or proposes to make, clearing arrangements with an RIE, those arrangements; and
        1. (ii) if it provides, or proposes to provide, clearing services for persons other than RIEs, the criteria which it will apply when determining to whom it will provide those services55263;63
      1. (d) (in REC 3.26) (in accordance with section 300E of the Act) regulatory provision means any rule, guidance, arrangements, policy or practice.63