3.3.23A Register of Securities

Past version: Effective from 16 Jul 2012 to 31 Mar 2014

The following requirements apply in relation to the maintenance of a register of securities for Members, Registered Representatives and Approved Traders executing Agency Trades that deal in Contracts that are classified as securities under the Act:

(a) a Member, its Registered Representatives and Approved Traders executing Agency Trades shall maintain a register of securities in accordance with the SFA;
(b) If asked by the Exchange, a Member, its Registered Representatives and Approved Traders executing Agency Trades shall produce the register for inspection; and
(c) a Member, its Registered Representatives and Approved Traders executing Agency Trades shall permit the Exchange to take extracts of the register.

Added on 16 July 201216 July 2012.