Published Date: 05 October 2018

Notice SFA 04-N15 on Risk Fact Sheet for Contracts for Differences

Sets out the requirements to provide a Risk Fact Sheet to and obtain acknowledgement from customers prior to the opening of a customer account to trade in contracts for differences.

This notice applies to

  • capital markets services (CMS) licensees, and
  • banks, merchant banks, finance companies and insurers

which conduct the regulated activity of dealing in capital markets products with respect to contracts for differences for, by arrangement with, or on behalf of, a customer.

Amendment Notes

There are no amendment notes for this notice.