Document ID: chunk:federal_register_of_legislation:F2024C01109:front:0:p41
Version: federal_register_of_legislation:F2024C01109
Segment Type: other
Provision Reference: 
Character Range: 106697–109698

(iv)      Order type;
(v)       Order characteristics; and
(vi)      such additional data items or fields notified by ASIC to the Market operator under Rule 4.1.2 and which are generated on or by the Market operator's Trading Platform, but a Market operator is not required to provide those additional data items or fields unless they are generated on or by the Market operator's Trading Platform.
(1A) A Market operator must keep records of all data items referred to in subrule (1) for a period of seven years.
(2) Format requirements
The data required by subrule (1) must be in such format as ASIC notifies the Market operator in accordance with Rule 4.1.2.
(3) Delivery requirements
The data required by subrule (1) must be delivered by a Market operator to ASIC or its nominated service provider in a manner and/or to a location notified by ASIC to the Market operator in accordance with Rule 4.1.2.

4.1.2 Notification
A notification by ASIC to a Market operator of:
(a)        a service provider nominated under subrule 4.1.1(1);
(b)       additional data items or fields under subparagraph 4.1.1(1)(g)(vi);
(c)        format under subrule 4.1.1(2); or
(d)       a manner and/or location of delivery under subrule 4.1.1(3),
must be in writing and allow the Market operator a reasonable period to comply.

Part 4.2 Provision of information about Market Participants

     4.2.1 Market operators to maintain records about Participants
A Market operator must maintain the information specified below about each Participant of its Market and advise ASIC in writing of any changes which are made to the information (including any changes resulting from the admission of new Market Participants) within two business days of the change being made:
(a)        Market Participant name;
(b)       the unique identifier that is used by the Market operator to identify the trading activities of the Market Participant on the Market operator's Trading Platform; and
(c)        Market Participant type, being:
(i)         Trading Participant; or
(ii)       Principal Trader.

Part 4.3 Record keeping

     4.3.1 Market operators to keep records which demonstrate compliance

     A Market operator must keep records that enable it to demonstrate that it has complied with its obligations under the Rules and Part 7.2 of the Corporations Act, including without limitation records which:
         1.         demonstrate the Market operator has adequate arrangements for operating the Market, such as records relating to:
                1.          handling conflicts between the commercial interests of the Market operator and the need for the Market operator to ensure that the Market operates in a way which is fair, orderly and transparent;
           (ii)       the Market operator's monitoring and enforcement of its operating rules, such as records relating to:
              1.        decisions made by the Market operator in relation to each application for admission as a Participant of its Market;