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- A member must abide by the provisions of the Law, and the regulations, instructions and decisions issued by virtue thereof, in particular a member must abide by the following:
- Maintaining those records and documents stipulated for in the applicable legislations, including those records and documents related to dealings executed by the member on the Stock Exchange.
- Settling all fees, commissions and charges that a member incurs within the timelines indicated in the applicable legislations.
- Complying with the Capital Adequacy Standards issued by the Board and the Stock Exchange.
- Refraining from taking any commission(s) exceeding the limitations set by applicable legislations.
- Non-disclosure of confidential client information.
- Informing the Stock Exchange of any breach of the provisions of applicable legislations immediately upon obtaining knowledge of them.
- The member shall be responsible for any breach of the provisions of the Law, and the regulations, instructions and decisions issued by virtue thereof committed by persons associated with it.
- The member shall sign a pledge to abide by the provisions of the By-laws and the instructions and decisions passed by the Stock Exchange, on the form approved for that purpose.