2.6.4 Audit Trails and Records

Past version: Effective from 15 Mar 2013 to 31 Mar 2014

A Member is required to:—

(a) maintain complete and accurate records and audit trails to evidence compliance with this Rules, and in accordance with the requirements in the Act and this Rules;
(b) 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 Member;
(c) make all material entries in any of the Documents;
(d) not alter or destroy any of the Documents without a valid reason; and
(e) make records available to the Exchange at such time as the Exchange requires.

Refer to Regulatory Notice 2.6.4.

Amended on 15 March 201315 March 2013.