stipulated matters Member to have in processes to prevent $2,000 $4,000 $7,000 – – – 3.3.8A Compoundable N.A N.A N.A N.A N.A N.A N.A. unauthorised $4,000 $7,000 $10,000 changes to order info 3.4 Trading Practices and Conduct Rules of Members, Approved Traders and Registered Representatives Member to have to have in place processes to review orders $2,000 $4,000 $7,000 – – – 3.4.3A Compoundable N.A N.A N.A N.A N.A N.A N.A. and trades for $4,000 $7,000 $10,000 suspicious trading behaviour
stipulated matters 3.3.8A Member to have in processes to prevent unauthorised changes to order info Compoundable $2,000 – $4,000 $4,000 – $7,000 $7,000 – $10,000 N.A N.A N.A N.A N.A N.A N.A. 3.4 Trading Practices and Conduct Rules of Members, Approved Traders and Registered Representatives 3.4.3A Member to have to have in place processes to review orders and trades for suspicious trading behaviour Compoundable $2,000 – $4,000 $4,000 – $7,000 $7,000 – $10,000 N.A N.A N.A N.A N.A N.A N.A.