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MIE-A.4.9

Past version: Effective from 11 Nov 2010 to 30 Jun 2021
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In addition to meeting the book-keeping and record-keeping requirements as per the applicable laws, rules and regulations, all capital market service providers and members of SROs must maintain records of telephone conversations and electronic communications, including facsimile, email and other instant messaging devices relating to their activities in the securities market and particularly the following activities:

(a) Receiving client orders;
(b) Executing client orders;
(c) Arranging for client orders to be executed;
(d) Carrying out transactions on behalf of the capital market service provider/member of an SRO, or another person in the capital market service provider/member of an SRO group, and which are part of the capital market service provider's/member of an SRO's trading activities, or the trading activities of another person in the capital market service provider/member of an SRO group;
(e) Executing orders that result from decisions by the capital market service provider/member of an SRO to deal on behalf of its client;
(f) Placing orders with other entities for execution that result from decisions by the capital market service provider/member of an SRO to deal on behalf of its client;

that are required to be maintained by the capital market service provider/member of an SRO as per the CBB rules, regulations and directives.