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MAE-A.1.4

Persons or entities undertaking functions falling within the meaning of licensed exchanges and licensed market operators require prior CBB approval. MAE-B.2 provides the definitions for licensed exchanges and licensed market operators which are impacted by this Module. These include entities providing the services including those:

(a) That provide a platform through which the exchange of securities takes place;
(b) Which provide listings of securities for trading;
(c) Which provide trade matching services, as these services may result in a transaction between investors; and
(d) Which provide a service which leads an investor to the reasonable expectation that they may trade in securities.