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MIE-A.4.9

In addition to meeting the book-keeping and record-keeping requirements as per the applicable laws, rules and regulations, all capital market service providers 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, or another person in the capital market service provider group, and which are part of the capital market service provider's trading activities, or the trading activities of another person in the capital market service provider group;
(e) Executing orders that result from decisions by the capital market service provider 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 to deal on behalf of its client;

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

Amended: July 2021