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3.—(1) The exchange must ensure that the systems and controls used in the performance of its functions are adequate, and appropriate for the scale and nature of its business.
(2) Sub-paragraph (1) applies in particular to systems and controls concerning—
(a)the transmission of information;
(b)the assessment and management of risks to the performance of the exchange’s functions;
(c)the effecting and monitoring of transactions on the exchange;
(d)the operation of the arrangements mentioned in paragraph 4(2)(d) below; and
(e)(where relevant) the safeguarding and administration of assets belonging to users of the exchange’s facilities.
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