Document ID: chunk:federal_register_of_legislation:F2024C01108:front:0:p63
Version: federal_register_of_legislation:F2024C01108
Segment Type: other
Provision Reference: 
Character Range: 167875–170799

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 of title to them, are held and if held otherwise than by the Market Participant, whether they are held as security for loans or advances;
(f)        all Cash Market Products and Derivatives Market Contracts which are not the property of the Market Participant but for which the Market Participant or any nominee controlled by it is accountable, showing by whom and for whom such financial products and Derivatives Market Contracts are held and:
 1.          in respect of those which are held for safe custody details sufficient to identify such Cash Market Products and Derivatives Market Contracts;
(ii)       in respect of those which are held for any person or firm or corporation as security for loans or advances made by the Market Participant details sufficient to identify such Cash Market Products and Derivatives Market Contracts;
(g)       all dealings in Derivatives Market Contracts by the Market Participant and all fees (option moneys) arising therefrom and any related covering transactions;
(h)       all confirmations issued by the Market Participant and details of any statements and specifications which are required by these Rules, the operating rules of the relevant Market and the Corporations Act to appear on confirmations; and
(i)         all underwriting transactions entered into by the Market Participant.
(2) All Cash Market Products and Derivatives Market Contracts held for safe custody or whose certificates are held for safe custody must either be registered in the name of the client or the Market Participant's nominee.
(3) The holding of Cash Market Products and Derivatives Market Contracts for security must be authorised in writing by the owner thereof or some other person lawfully authorised to do so.
(4) An authority referred to in subrule (3) must specify the period for which such Cash Market Products and Derivatives Market Contracts or documents of title may be held.

4.2.2 Client complaints—Records of complaints and correspondence

(1) A Market Participant must keep the following records of complaints received from clients:
 1.         a copy of all written complaints;
(b)       a copy of all written correspondence between the Market Participant and the clients and a written summary of any oral communication in connection with a written complaint; and
(c)        any correspondence or documents relating to the resolution of a complaint through 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.

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