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Commodity Trading Regulations 2001
Status:
 
Current version
as at 12 Aug 2024
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Table Of Contents
Commodity Trading Regulations 2001
Status:
 
Current version
as at 12 Aug 2024
Please check the legislation timeline to ensure that you are viewing the correct legislation version. See also FAQ B3.
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Versions
or
find current version as at
27 Feb 2008   
  •  
     
  • 27 Feb 2008
    Amended by
    S 100/2008
  • 28 Nov 2001
    SL 578/2001
  •  
     
Table of Contents
Commodity Trading Regulations 2001
Enacting Formula Part I PRELIMINARY
 
1 Citation and commencement
 
2 Definitions
 
3 Net capital
 
4 Adjusted net capital
 
5 Forms
Part II LICENCES
 
6 Manner of application for licence or approval
 
7 Change of address
 
8 Register of licences, etc.
 
9 Fees
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
 
23 (Deleted)
 
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
 
29 (Deleted)
 
30 Change of principal
 
31 Time for document to be lodged
 
32 (Deleted)
 
33 Compliance with financial reporting requirements, etc.
 
34 Offences
 
35 Transitional provision
FIRST SCHEDULE Fees SECOND SCHEDULE
Commodity Trading Regulations 2001
Status:
Current version as at 12 Aug 2024
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  • 28 Nov 2001
    SL 578/2001
  • 27 Feb 2008
    Amended by
    S 100/2008
  •  
28 Nov 2001
27 Feb 2008
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Last updated 12 Aug 2024
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