Order Types and Functionality Guide

46 6.8.2 Special Settlement Terms Orders may be marked with special instructions for settlement. These orders are traded individually, not in relative priority. A special settlement terms order is displayed in the special settlements terms “book” and can be traded with an order that specifically targets that resting order by specifying its intention to trade by matching the resting order’s sequence number. Special settlement terms trades can also be crossed by a broker. TSX Alpha does not support special settlement terms. Special settlement terms supported on TSX and TSXV include: Cash, Cash Today, Delayed Delivery, Non-net, and Non-resident. Settlement terms orders will match and trade with each other when the terms on the orders match. 6.9 Erroneous Trade and Trade Amendment Policy In the event that a broker executes an order in error (“erroneous trade”) the broker will be asked to contact the Trading Services desk. The Trading Services desk may, upon request of the broker, contact the other party to the trade to request cancellation of the trade. Both parties to the trade must agree to the trade cancellation or they may elect to contact IIROC for assistance. In the event of a technical, systems, or access problem that has substantially impaired or impacted access or trading, TMX has the discretion to cancel an impacted trade without the consent of both parties and subject to IIROC approval. Otherwise, TMX cannot unilaterally cancel a trade without the consent of both parties and without consultation with and approval of IIROC. In the event of a trade that requires a change or amendment to price and/or quantity the broker will contact IIROC for approval. If IIROC approves the amendment, they will then contact the TMX Trading Services Desk to instruct TMX to make the change. This policy excludes any requests received by IIROC or other securities regulator to cancel or amend a trade. In the event of a dispute between two brokers, TMX will make available any information required to settle the dispute, subject to any confidentiality restrictions on the disclosure of such information. 6.10 Reports 6.10.1 Daily Diary Files The TMX Daily Diary files are a set of daily reports generated for each participant and automatically emailed as password protected zipped .txt files following the close of each trading day. These reports include: • Open Orders By Book – a detailed list of all outstanding open orders from the PO. • Open Order By User ID – a detailed list of all outstanding open orders organized by User ID. • Removed Orders by Book – a list of all cancelled orders during the day. • Removed Orders by User ID – a list of all cancelled orders during the day by User ID. • Diary List By Price – a detailed summary of all trades executed during the day by price. • Diary List By Time – a detailed summary of all trades executed during the day by time. TSX, TSXV, and TSX Alpha support all six reports. 6.10.2 Compliance Alerts Reporting System (CARS) TMX has developed a system that produces daily reports that enable the compliance office of a broker to monitor