Whole Section

  • 5.13 Record of Orders

    • 5.13.1

      A Trading Member or a Trading Representative must ensure that a daily record of orders received from customers is maintained. The record must show the identity of the Trading Representative, account identification of each customer, the specific order, date and the time the order was received, transmitted, amended and executed or cancelled. The record may be electronically stored.

      Added on 3 June 20193 June 2019.

    • 5.13.2

      A Trading Member must have adequate security measures in place to prevent unauthorised access to and/or tampering of the audit trail of orders entered into the Trading System.

      Added on 3 June 20193 June 2019.