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Home
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Getting Listed
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Business Rules
Getting Listed
Why List
How to List
Listee's Listing Standards
Business Rules
Market Supervision
Role of Sponsor
Role of Broker
Listing Fees
Search Price / Info
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Business Rules
APX BUSINESS RULES
Chapters
Table of Contents
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1
Interpretations and Definitions
69k
2
Dealer's Entry Standards
46k
3
Dealer's Prudential Soundness
61k
4
Trading Rules
89k
5
Client Relationships
37k
6
Delivery and Settlement
64k
7
Prevention of Fraud, Dishonesty and Manipulative Behaviour
31k
8
Monitoring, Surveillance and Enforcement
88k
9
Sponsors and Research Panellist
30k
APPENDICES
Appendix
Description
3-1
Form of Letter – Loan to APX Broker
50k
4-1
Settlment Agreement
391k
4-2
Takeovers
263k
5-1
Client Agreement Forms
248k
8-1
Risk Disclosure Statement
244k
8-2
APX Compensation Arrangements
315k
9-1
Sponsor’s Undertakings
245k
9-2
Research Panellist's Undertakings
247k
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Asia Pacific Exchange Limited
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