Commodity Trading Regulations 2001
Table of Contents
Part I preliminary
1 Citation and commencement
3 Net capital
4 Adjusted net capital
Part II licences
6 Manner of application for licence or approval
7 Change of address
8 Register of licences, etc.
Part III ACCOUNTS AND AUDIT
10 Accounts to be kept by brokers
11 Appointment of auditors
12 Lodging annual accounts, etc.
13 Reports by auditor to Board
14 Profit and loss account and balance-sheet
15 Form of auditor’s report
16 Control of take-overs of licensees, etc.
Part IV conduct of commodity trading business
17 Minimum financial requirements for commodity brokers , etc.
18 Statements of financial condition, computation of adjusted net capital, etc.
19 Records to be kept by trading adviser and pool operator
20 Reports by pool operator
21 Segregation of customer’s funds by brokers
22 Segregated accounts
24 Issues of contract confirmation
25 Monthly confirmation statements
26 Conduct of business of pool operator
27 Conduct of business of trading adviser
28 Trading standards for brokers
Part V miscellaneous
30 Change of principal
31 Time for document to be lodged
33 Compliance with financial reporting requirements, etc.
35 Transitional provision