12.1.1

Past version: Effective from 18 Sep 2012 to 18 May 2014

A Trading Member, Director or Trading Representative must:—

(1) maintain complete and accurate records and audit trails to evidence compliance with the Rules, and in accordance with the requirements in the Securities and Futures Act, and/or Securities and Futures Regulations and the Rules;
(2) not make, or cause to be made, a false or misleading entry, in hardcopy, or electronic form, in any books, records, slips, documents, statements relating to the business, affairs, transactions, conditions, assets or accounts ("the Documents") of a Trading Member;
(3) make all material entries in any of the Documents; and
(4) not alter or destroy any of the Documents without a valid reason.

Refer to Directive No. 4.

Amended on 18 September 201218 September 2012.