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CRA-13.1.1C

Licensees must establish and implement written policies and controls for the proper surveillance of its trading platform in order to identify, prevent and report any manipulative or abusive trading activities. The policies and controls should, at a minimum, cover the following:
(a) Preventing any potential market abuse or manipulation;
(b) monitoring activity on its platform;
(c) identifying anomalies; and
(d) taking immediate steps to restrict or suspend trading upon discovery of manipulative or abusive activities (for example, temporarily suspending accounts).
Added: April 2023