Part 5 Auction Recognition Requirements

1. 12Interpretation
2. 13Method of satisfying auction recognition requirements
3. 14Financial resources
4. 15Suitability
5. 16Systems and controls
6. 17Safeguards for investors
7. 18Promotion and maintenance of standards
8. 19Rules and consultation
9. 20Access to auctions
10. 21Choice of settlement facilities
11. 22Discipline
12. 23Complaints