Application of chapter provisions: regulatory provisions apply mutatis mutandis to clearing members and self clearing members, extending compliance obligations. The provisions of Chapters IV, V and VI of the Stock Brokers Regulations apply mutatis mutandis to clearing members and self-clearing members, thereby extending the substantive duties, compliance obligations and registration-related requirements in those chapters to entities acting as clearing participants, with necessary adjustments in form and context.
Cases where this provision is explicitly mentioned in the judgment/order text; may not be exhaustive. To view the complete list of cases mentioning this section, Click here.
Provisions expressly mentioned in the judgment/order text.
Application of chapter provisions: regulatory provisions apply mutatis mutandis to clearing members and self clearing members, extending compliance obligations.
The provisions of Chapters IV, V and VI of the Stock Brokers Regulations apply mutatis mutandis to clearing members and self-clearing members, thereby extending the substantive duties, compliance obligations and registration-related requirements in those chapters to entities acting as clearing participants, with necessary adjustments in form and context.
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