ASIC Market Integrity Rules (Securities Markets) 2017 (Australia)
Chapter 4: Records – ASIC Market Integrity Rules (Securities Markets) 2017 (Australia)

ASIC Market Integrity Rules (Securities Markets) 2017 (Australia) 4.1: Record client and own-account dealings immediately with timestamps and keep them for seven years

A participant must keep sufficiently detailed records of client instructions (product, quantity, price and time instructions, receipt time, client and person giving them, and execution details) and of own-account dealings, made immediately after the event with the time recorded, retained for seven years. Amendment Instrument 2026/574 (registered 17 September 2026, in force 17 March 2028) changes this rule.

Maintained by Gerard Blokdyk

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