Document ID: chunk:federal_register_of_legislation:F2024C01108:front:0:p64
Version: federal_register_of_legislation:F2024C01108
Segment Type: other
Provision Reference: 
Character Range: 170564–173259

any complaints resolution scheme.

(2) A Market Participant must keep the records referred to in subrule (1) in respect of a complaint for at least five years from the date of the last correspondence in respect of that complaint.

Part 4.3 Access to records

4.3.1 Records to be in writing and in English

(1) A Market Participant must keep all of the records it is required to maintain under this Chapter 4, in writing and in the English language or in a manner which will enable them to be readily accessible by ASIC and readily converted into writing in the English language.

(2) A Market Participant must, if directed by ASIC in writing to do so, convert records maintained under this Chapter 4 into writing and into English.

(3) A Market Participant must comply with a direction given under subrule (2) by the time specified by ASIC when giving the direction.

4.3.2 Records kept outside Australia

(1) If the records which a Market Participant is required to maintain under this Chapter 4 are kept outside Australia:
 1.         the Market Participant must send, or cause to be sent, to Australia records which will enable true and fair financial statements to be prepared; and
(b)       the Market Participant must, if directed by ASIC in writing to do so, produce any of its records in Australia.

(2) A Market Participant must comply with any direction given by ASIC under paragraph (1)(b) by the time specified by ASIC when giving the direction.

Chapter 5: Trading

Part 5.1AA Transactions to be under the operating rules of a Market operator

5.1AA.1 Transactions to be under the operating rules of a Market operator
A Market Participant must not enter into a transaction in:
(a)        an Equity Market Product other than Under the Rules of a Market;
(b)       a CGS Depository Interest other than Under the Rules of a CGS Market,
unless the transaction is entered into pursuant to:
(c)        the terms of the relevant product, including a redemption; or
(d)       a primary market action, including a Takeover Off-Market Bid for relevant products or an issue, allotment or subscription of new relevant products.

Part 5.1 Client order priority

5.1.1 Application and meaning of dealing on "Own Account"
Subject to Rule 5.1.2, a reference to a Market Participant having an order for its own account means:
 1.         in relation to Cash Market Transactions, that the Cash Market Products to be bought or sold are (in the case of a sale) or will be on the completion of the transaction (in the case of a purchase) beneficially owned by the Market Participant or a Prescribed Person, where the Cash Market Products beneficially owned by a Market Participant or Prescribed Person