Compliance for Stock Exchange Broker 2/2

  Compliance for Stock Exchange Broker 1/2 Compliance for Stock Exchange Broker Continued Part of Regulatory Compliance applicable for Stock Exchange Broker as follows.   Compliance on Leveraged Trading The Broker must ensure that no transaction is executed in the leveraged market unless an appropriate agreement has been executed and; The Broker has; Fully disclosed all the risks involved in the relevant transactions. Explained all the options to the client in respect of various financing facilities. Evaluated credit worthiness of the client. Maintained adequate records of agreement, disclosure of risks and explanation of available options.   Compliance on Trading by employees Broker must ensure that it has given...