Commodity Futures Regulations
Table of Contents
1 Citation
2 Definitions
3 Forms
4 Particulars and directions in forms
5 Manner of application for licence or approval
6 Change of address
7 Register of licence holders
8 Fees
9 Accounts to be kept by commodity futures brokers
10 Commodity futures brokers to appoint auditors
11 Commodity futures brokers to lodge annual accounts, etc.
12 Reports by auditor to Board
13 Profit and loss account and balance-sheet
14 Form of auditor’s report
15 Condition of licence: Control of take-overs of licensees
16 Minimum financial requirements for commodity futures brokers
17 Net capital
18 Adjusted net capital
19 Statements of financial condition, computation of adjusted net capital, etc.
20 Books and records to be kept by commodity futures trading adviser and commodity futures pool operator
21 Reports by commodity futures pool operator
22 Segregation of customer’s funds by commodity futures brokers
23 Segregated accounts
24 Position limits
25 Issues of contract confirmation
26 Monthly confirmation statements
27 Conduct of business of commodity futures pool operator
28 Conduct of business of commodity futures trading adviser
29 Trading standards for commodity futures brokers
30 Exemption for associated persons
31 Change of principal
32 Time for document to be lodged
33 Offences
Legislative History