MIR-4 Business Standards and Ongoing Obligations
- MIR-4.1 General Obligations
- MIR-4.2 Notification Requirements
- MIR-4.3 Mind and Management
- MIR-4.4 Financial Resources, Initial Paid-up Capital and Capital Adequacy Requirements
- MIR-4.5 Systems and Controls
- MIR-4.6 Obligation to Maintain Proper Records
- MIR-4.7 Segregation and Handling of Clients' Assets
- MIR-4.8 Final Accounts and Auditing
- MIR-4.9 Obligation to Submit Periodic Reports
- MIR-4.10 Additional Powers of the CBB in Respect of Auditors
- MIR-4.11 Obligation to Assist CBB
- MIR-4.12 Obligation to Maintain Confidentiality
- MIR-4.13 Confirmation Requirements and Provision of Information to Clients
- MIR-4.14 Transmission and Storage of Transactions and Clients Information
- MIR-4.15 Business Continuity Plan
- MIR-4.16 Outsourcing
- MIR-4.17 Compliance Officer [This Section was deleted in April 2013 as requirements are now found under Paragraphs MIR-3.1.6 and MIR-3.1.7.]
- MIR-4.18 Non-Compliance with Business Rules, Listing Rules, Clearing and Settlement Rules not to Substantially Affect the Rights of Persons
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MIR-4.19 Market Making Practice for Liquidity Enhancement
- MIR-4.19.1
- Liquidity Enhancement Practice
- Market Making Agreement
- Independence of the Market Maker
- Securities account and bank account associated with the market making agreement
- Non-withdrawal of Securities
- Conditions for trading
- Reporting Requirements
- Termination of Market Making Agreement
- Record Keeping
- Disclosure to clients
- Additional Market Making Rules for Equity Securities