ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis

LexisNexis ASIC Market Integrity Rules (ASX Market) 2010“Commencement Date” means the date this instrument commences, as set out in Rule 1.1.3.“Company Announcements Office” means the office of the Market Operator that processesannouncements regarding Listed Entities for release to the Market.“Compliance Education” means education or professional development directly related tocompliance obligations, policies, procedures and ethics with specific relevance to theobligations of the Market Participant and the Responsible Executive under these Rules, theMarket Operating Rules, the Clearing Rules and the Settlement Rules.“Compliance Education Requirements” means the successful completion of 8 hours ofCompliance Education during the period from 1 July each year to 30 June in the followingyear.“Compliance Manager” means a person who has responsibility for all or part of thecompliance function in the business of the Market Participant in connection with the Market.“Conditional Sale” means a sale which is subject to fulfilment of conditions and made on amarket declared by the Market Operator to be a conditional market.“Continuing Professional Education Requirements” means the requirements of Rule2.4.21.“Contract Series” means a Futures Series or an Option Series.“Controlled Trust” means a trust in relation to which an Employee, Immediate Family of anEmployee or a company controlled by an Employee:(a) is a trustee;(b) holds more than 50% of the whole beneficial interest; or(c) controls the trust.“Controller” means:(a) a person holding 20% or more of the total votes attached to voting shares of a MarketParticipant or a person who, together with Related Parties, holds 20% or more of suchvotes; or(b)a person who has the power to control the Market Participant, whether that power isdirect or indirect or is, or can be, exercised as a result of, by means of, in breach of, orby revocation of, trusts, relevant agreements and practices, or any of them, and whetheror not they are enforceable,but for the purposes of Part 5.2 does not include an entity if the entity, a holding company ofthe entity, or a subsidiary of the entity through which the entity has an interest in the MarketParticipant is an entity listed on the Market or with any other Australian market licensee or aRecognised Overseas Stock Exchange.“Corporations Act” means the Corporations Act 2001 (Cth).Copyright Australian Securities and Investments Commission. Reproduced with permission.