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Query #7

Query #7

Guidance for e-settlement subscribers and their instructing practitioners

This guidance query (PDF, 245.1KB) aligns with Version 5 of the Model Participation Rules and explains the application of the Model Participation Rules where an e-settlement subscriber is engaged regarding:

  • verification of identity,
  • proper completion of a Client Authorisation,
  • verification of right to deal,
  • certifications,
  • retention of evidence, and
  • compliance examinations.

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