Past version: Effective up to 17 Sep 2012

A Trading Member, Director or Trading Representative must:—

(1) maintain complete and accurate records in accordance with the Securities and Futures Act, and/or Securities and Futures Regulations or 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.