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) 4.2-4.3: Keep accurate business records and complaint records, in English and accessible to ASIC

A participant must keep accurate records of money received and paid, related-party and inter-participant transactions, income and expenses, assets and liabilities and client holdings; keep client complaint records and correspondence for at least five years; and keep all Chapter 4 records in English or readily convertible, converting them when ASIC directs.

Maintained by Gerard Blokdyk

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