Transcription of Intermediary Operations and Procedures Manual
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Intermediary Operations and Procedures Manual
Intermediary Operations and Procedures Manual 2 TABLE OF CONTENTS INTRODUCTION .. 4 1. 5 Member Firm 5 Principal Licensing .. 5 Registered Representative Licensing .. 5 2. CODE OF CONDUCT .. 6 Duties and Responsibilities of Member Firms .. 6 Duties and Responsibilities of 7 Duties and Responsibilities of Registered 8 Record-keeping .. 8 Public Communications .. 10 10 Correspondence and Advertising File .. 10 Standards for Public Communications .. 10 Prohibited 11 3 INVESTOR SERVICES .. 12 Opening New Accounts .. 12 Disclosure to Clients and the ECSE about the Firm .. 14 Trading Securities .. 14 ECSE, A Quote Driven Call Auction Market .. 14 Limit Orders.
E.C.S.E. BROKER DEALER OPERATIONS PROCEDURES 4 INTRODUCTION This Manual is designed to be a reference and training tool for all associated personnel of member Firms of the Eastern Caribbean Securities Exchange(ECSE).
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