(1) maintain complete and accurate records and audit trails to evidence compliance with the Rules, and in accordance with the requirements in the Securities and Futures Act, and/or Securities and Futures Regulations and 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.