Document ID: chunk:federal_register_of_legislation:F2024C01108:front:0:p61
Version: federal_register_of_legislation:F2024C01108
Segment Type: other
Provision Reference: 
Character Range: 162202–165465

the decision being taken to be the DTR whose identifier is so recorded)
under subparagraph 4.1.2(2)(a)(ii) to maintain records of the financial products to be bought or sold                                                              where the financial products are entered into the Trading Platform of the relevant Market for the particular Trading Message (which are taken to be the financial products decided or instructed to be bought or sold)
under subparagraph 4.1.2(2)(a)(iii) to maintain records of the number of financial products to be bought or sold                                                   where the number of financial products is entered into the Trading Platform of the relevant Market for the particular Trading Message (which is taken to be the number of financial products decided or instructed to be bought or sold)
under subparagraph 4.1.2(2)(a)(iv) to maintain records of price-related decisions to enter into a Market transaction                                               where the price is entered into the Trading Platform of the relevant Market for the particular Trading Message (which is taken to be the price at which the financial products are decided or instructed to be bought or sold)
under paragraph 4.1.2(2)(b) to maintain records of an amendment to a Trading Message                                                                               where the particulars of the Trading Message are entered into the Trading Platform of the relevant Market
under paragraph 4.1.2(2)(d) to maintain records of the name of the DTR who entered the Trading Message                                                             where the DTR identifier is contained in the Trading Message and recorded by the Trading Platform of the relevant Market (the DTR who entered the Trading Message being taken to be the DTR whose identifier is so recorded)
under paragraph 4.1.2(2)(e) to maintain records of the time of a Trading Message                                                                                   where the Trading Platform of the relevant Market records the time the Trading Message was entered into the Trading Platform
under paragraph 4.1.2(2)(f) to maintain records of the time that a Trading Message gives rise to a Market transaction                                              where the Trading Platform of the relevant Market records the time of effecting of the Market transaction

4.1.7 Records of dealings for clients by a Market Participant who instructs another Trading Participant to execute the dealings
A Market Participant that instructs another Trading Participant to enter into a Market transaction on behalf of a person:
 1.         need not comply with paragraphs 4.1.1(2)(e), (f), (g), (h), (i) and (j) in respect of that instruction;
(b)       must maintain sufficiently detailed records in respect of such instruction showing:
 1.          the name of the person who received the instructions;
(ii)       the name of any 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