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regulatory provisions

  1. (a) (in accordance with section 302 of the Act (Interpretation)) (in relation to an investment exchange or clearing house) the rules of or any guidance issued by the investment exchange or clearing house;
  2. (b) (in relation to an investment exchange):
    1. (i) any arrangements which it has made, or proposes to make, for the provision of clearing services in respect of transactions effected on the exchange; and
    2. (ii) if it provides, or proposes to provide, clearing services on exchange, the criteria which it applies, or proposes to apply, when determining to whom it will provide those services;
  3. (c) (in relation to a clearing house):
    1. (i) if it makes, or proposes to make, clearing arrangements with an RIE, those arrangements; and
    2. (ii) if it provides, or proposes to provide, clearing services for persons other than RIEs, the criteria which it will apply when determining to whom it will provide those services5.