Section 991D — Corporations Act 2001 (Cth)

Regulations may require records to be kept in relation to instructions to deal on licensed markets and foreign markets

The regulations may impose requirements for the keeping of records relating to all or any of the following:

(a) instructions received by financial services licensees to deal in financial products through licensed markets or through other financial markets (whether inside or outside Australia);

(b) the execution of such instructions;

(c) the transmission of such instructions.

Sourced from the Federal Register of Legislation at 17 May 2026. For the latest information on Australian Government law please go to https://www.legislation.gov.au. Verify the current text against the official source before relying on it.

Related sections

s 991A — Financial services licensee not to engage in unconscionable conduct
s 991B — Financial services licensee to give priority to clients’ orders
s 991C — Regulations may deal with various matters relating to instructions to deal through licensed markets
s 991E — Obligations of financial services licensee in relation to dealings with non‑licensees
s 991F — Dealings involving employees of financial services licensees
s 992A — Prohibition on hawking of financial products

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