Regulatory Notice 3.3.8 — Recording of Orders

Past version: Effective from 25 Oct 2012 to 31 Mar 2014

Issue Date Cross Reference Enquiries
Added on
22 September 2006.
Rule 3.3.8 Please contact Market Surveillance:

Mr Christopher Chong 6236 8316

1. Introduction

1.1 This Regulatory Notice sets out the details to be contained in an Order Form, as set forth in Rule 3.3.8.

2. Details on the Order Form

2.1 In addition to the requirements prescribed in Regulation 39(3) of the Conduct of Business Regulations, the Order Form shall, where applicable, include the following details:
(a) the Customer's designation, which shall readily identify the account for which the order was given;
(b) the date and time that the Customer's order, amendment or cancellation was passed from the Registered Representative to the Approved Trader;
(c) the contract for which the Customer's order was given;
(d) the contract month of that futures contract;
(e) the quantity of that futures contract;
(f) the order type;
(g) the price (if any) to buy or sell that futures contract;
(h) in the case of an option contract, the class of options and the strike price; and
(i) the date and time that the order or amended order was executed

Amended on 25 October 201225 October 2012.