The Capital Markets (Investment-Based Crowdfunding) Regulations

34. Record keeping

Edition: 2022-12-31 · In force

(1)A crowdfunding platform operator shall keep a copy of all relevant documents, including—

(a)a detailed list of all the issuers and investors;

(b)evidence of individual holdings of each investor;

(c)a record of past and present holders of the crowdfunded investments and their holdings; and

(d)a transfer journal or log recording the transfer of the crowdfunded investments.

(2)All records shall be kept for a period of at least seven years from the date which the information was lodged in the portal.