ASIC Market Integrity Rules (Competition in Exchange Markets) 2011

ASIC Market Integrity Rules (Competition in Exchange Markets) 2011 Chapter 5: Post-trade transparency
Item Label Post-Trade Information
4 Volume The number of Equity Market Products the subject of the
Transaction
5 Price The price per Equity Market Product of the Transaction
6 Currency The currency of the price per Equity Market Product of the
Transaction, unless the Transaction was in Australian dollars
7 Trade cancellation
indicator
If the Transaction is cancelled, a notation or code to identify that
the Transaction is cancelled
8 Original trade date If the Transaction is cancelled, the information in item 1 of this
Table
9 Exception code If the Transaction was executed:
Part 5.2 Exceptions
Note: There is no penalty for this Rule.
5.2.1 Exceptions—Large Principal Transaction
(1) In these Rules, Large Principal Transaction means:
(a) otherwise than by matching of Orders on an Order Book;
or
(b) without Pre-Trade Information in relation to the Order
being made available,
a unique code that identifies the exception in subrule 4.1.1(2) or
4.1.2(2) relied upon
(a) a Transaction in which one party to the Transaction is the Participant acting as Principal
and the other party to the Transaction is the Participant acting as agent for a client;
(b) the consideration for the Transaction is:
(i) $15,000,000 or more for Category A Equity Market Products;
(ii) $10,000,000 or more for Category B Equity Market Products;
(iii) $5,000,000 or more for Category C Equity Market Products; or
(iv) $2,000,000 or more for Category D Equity Market Products; and
(c) the Transaction is not effected to unwind, close out or liquidate (in whole or in part) a
position established by a Transaction which meets the requirements in paragraphs (a)
and (b).
(2) For the purposes of paragraph (1)(a), the client may be a Funds Manager acting on behalf
of more than one fund.
(3) For the purposes of paragraph (1)(b):
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