1402. Standards of conduct

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    1. A Regulated Person:
      1. in the transaction of business must observe high standards of ethics and conduct and must act openly and fairly and in accordance with just and equitable principles of trade, and 
      2. must not engage in any business conduct that is unbecoming or detrimental to the public interest.
    2. Without limiting the generality of the foregoing, any business conduct that:
      1. is negligent,
      2. fails to comply with a legal, regulatory, contractual or other obligation, including the rules, requirements, and policies of a Regulated Person,
      3. displays an unreasonable departure from standards that are expected to be observed by a Regulated Person, or
      4. is likely to diminish investor confidence in the integrity of  securities, futures or derivatives markets,

      may be conduct that contravenes one or more of the standards set forth in subsection 1402(1).

    There is no history log for this rule.

    There is no history log for this rule.