3964. Supervision of futures contract and futures contract options accounts

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    1. A Dealer Member that trades or advises in respect of futures contract or futures contract options must appoint a designated Supervisor to supervise its futures contract and futures contract options activity.

    2. The designated Supervisor must have the qualifications and experience required to supervise the Dealer Member’s futures contract or futures contract options activity.

    3. The Dealer Member must appoint one or more alternate Supervisors if necessary to ensure continuous supervision of its futures contract and futures contract options activity. 

    4. An alternate Supervisor must assume all or some of the designated Supervisor’s responsibilities if:

      1. the designated Supervisor is absent or unable to carry out his or her duties, or

      2. a Dealer Member’s trading activity requires additional qualified individuals to supervise the Dealer Member’s futures contract and futures contract options business.

    There is no history log for this rule.

    There is no history log for this rule.