Document ID: chunk:federal_register_of_legislation:F2024C01108:front:0:p62
Version: federal_register_of_legislation:F2024C01108
Segment Type: other
Provision Reference: 
Character Range: 165200–168161

person who passed the instruction on between the person who initially received the instruction and the person instructing the Trading Participant to enter into the Market transaction;
(iii)     the name of the person who instructed such Trading Participant to enter into the Market transaction; and
(iv)      the time the person instructed such Trading Participant to enter into the Market transaction.

4.1.8 Records of dealings on its Own Account by a Market Participant who instructs another Trading Participant to execute the dealings
A Market Participant (whether or not it is a Trading Participant) that instructs a Trading Participant to enter into a Market transaction on its behalf:
 1.         need not comply with paragraphs 4.1.2(2)(c), (d), (e) and (f) in respect of that instruction; and
(b)       must maintain sufficiently detailed records in respect of such instruction showing:
 1.          the name of any person who passed the instruction on between the person who initially gave the instruction or made the decision and the Trading Participant instructed to enter into the Market transaction;

(ii)       the name of the person who instructed such Trading Participant to enter into the Market transaction; and

(iii)     the time the person instructed such Trading Participant to enter into the Market transaction.

4.1.9 Records regarding Authorised Persons

A Trading Participant must maintain records of:

 1.         the name and contact details of each Authorised Person in relation to each Market, and if an Authorised Person is an agent of another person, the details of that other person; and

(b)       the security arrangements regarding access by the Authorised Person to a computer or other device connected to the Trading Participant's Open Interface Device and its location or if not fixed, the method of identifying the computer or other device,

for a period of seven years from the date the person ceases to be an Authorised Person.

Part 4.2 Records—General

4.2.1 General recordkeeping requirements

(1) A Market Participant must maintain accurate records in sufficient detail to show particulars of:

 1.         all money received or paid by the Market Participant, including trust account receipts and payments in a manner usual for a business of the kind being carried on by a Market Participant;
(b)       all transactions by the Market Participant with or for the account of:
 1.          a person of a type described in Rule 5.4.1 or a Related Party;
(ii)       other Market Participants; and
(iii)     members of any overseas stock exchange;
(c)        all income from commissions, interest and other sources and all expenses, commissions and interest paid;
(d)       all assets and liabilities, including contingent liabilities of the Market Participant;
(e)        all Cash Market Products and Derivatives Market Contracts which are the property of the Market Participant, showing by whom they, or the documents