Document ID: chunk:federal_register_of_legislation:F2024C01108:front:0:p58
Version: federal_register_of_legislation:F2024C01108
Segment Type: other
Provision Reference: 
Character Range: 154014–156910

Corporations Act to the extent that those requirements apply to dealing in the relevant Market, the Market Participant must maintain sufficiently detailed records showing:
 1.         particulars of the instructions, including, without limitation:
        1.          the financial product to be bought or sold;
(ii)       the number thereof;
(iii)     any price or time related instructions;
(iv)      any time limit on the instructions;
(v)       the date and time the Market Participant received the instructions;
(vi)      instructions or decisions to purchase or sell financial products pursuant to a Managed Discretionary Account (including, without limitation, the financial products to be bought or sold and the number thereof, any price or time related instructions or decisions and the name of the person who generated the instruction or made the decision), whether the instruction or decision was executed or not; and
(vii)    the authority of the Client, if any, for accumulation and price averaging under Rule 3.4.2;
(b)       the name of the Client;
(c)        the name of the person who gave the instructions (or, if the Trading Message was received by Automated Order Processing, the information set out in Rule 5.5.3);
(d)       any amendment of any kind to the instructions or Trading Message (including, without limitation, cancellation of an instruction or Trading Message, variation of the number of financial products to be bought or sold or variation of any price or time related instructions) including the date and time of any amendment to the instructions or Trading Message;
(e)        the name of the person who received the instruction (or, if the Trading Message was received by Automated Order Processing, the information set out in Rule 5.5.3);
(f)        the name of any other person who passed the instruction on between the person who initially received the instruction, and the Trading Platform and the date and time they passed it;
(g)       the name of the DTR who entered a Trading Message into a Trading Platform (or, if the Trading Message was submitted by Automated Order Processing, the information set out in Rule 5.5.3);
(h)       the time the DTR entered a Trading Message into a Trading Platform (or if the Trading Message was submitted by Automated Order Processing, the time at which the Trading Message was initiated by the Open Interface Device);
(i)         if the Trading Message gives rise to a Market transaction, the date, time and Market on which that occurs; and
(j)         if applicable, the Derivatives Market Contracts arising from instructions that are nominated for accumulation and price averaging under the Clearing Rules.

4.1.2 Records of dealings on Own Account
(1) This Rule applies to a Market Participant that makes a decision, or gives instructions to, enter into a Market transaction on its Own Account, whether or not the