MAE — Markets and Exchanges
- MAE-A Introduction
- MAE-B Purpose
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MAE-1 Licensing
- MAE-1.1 Requirement to be Licensed
- MAE-1.2 Application for License
- MAE-1.3 Licensing of Exchanges and Market Operators
- MAE-1.4 Exemption of Exchanges and Market Operators
- MAE-1.5 Power of CBB to Revoke Exemption
- MAE-1.6 Criteria for Granting License
- MAE-1.7 Surrender of License or Cessation of Business
- MAE-1.8 Cancellation or Amendment of License
- MAE-1.9 Annual Fees Payable by Licensed Exchange and Licensed Market Operator
- MAE-1.10 Publication of the Decision to Grant, Cancel or Amend a License
- MAE-1.11 Place of Business
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MAE-2 Obligation of Licensed Exchanges and Market Operators
- MAE-2.1 General Obligations
- MAE-2.2 Obligation to Maintain Proper Records
- MAE-2.3 Final Accounts and Auditing
- MAE-2.4 Obligation to Submit Periodic Reports
- MAE-2.5 Obligation to Assist CBB
- MAE-2.6 Obligation to Maintain Confidentiality
- MAE-2.7 Exceptions to Obligation to Maintain Confidentiality
- MAE-2.8 Provision of Information to Investors
- MAE-2.9 Transmission and Storage of User Information
- MAE-2.10 Business Continuity Plan
- MAE-2.11 [This Section has been deleted in April 2022 and replaced with Module CFP requirements in Volume 5 Ancillary Service Providers]
- MAE-2.12 [This Section has been deleted in April 2022 and replaced with Module CFP requirements in Volume 5 Ancillary Service Providers]
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MAE-3 Rules of Licensed Exchanges
- MAE-3.1 General Obligations
- MAE-3.2 Content of Rules of Licensed Exchanges
- MAE-3.3 Amendment of Business Rules and Listing Rules
- MAE-3.4 Business Rules of Licensed Exchanges and Licensed Market Operators have Effect as Contract
- MAE-3.5 Determination of Position and Trading Limits
- MAE-3.6 Non-Compliance with Business Rules or Listing Rules not to Substantially Affect Rights of Person
- MAE-3.7 Requirements to Register Trading Personnel
- MAE-3.8 Compliance Officer
- MAE-3.9 Outsourcing
- MAE-4 Instruments, Transactions and Contracts
- MAE-5 Matters Requiring Approval of CBB
- MAE-6 Control of Licensed Exchanges
- MAE-7 Immunity from Criminal or Civil Liability
- MAE-8 General Powers of the CBB