ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis

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LexisNexis Appendix: ASIC Market Integrity Rules (ASX Market) 2010ASIC/ASX MIRASX Market Rule/Procedure/Appendices toProcedureExplanation of any differences1.4.1 References to time 2 DEFINITIONS AND INTERPRETATION2.1(k) GENERAL PRINCIPLES OFINTERPRETATIONASIC has adopted paragraph (k) of this ASX Market Rule as a MarketIntegrity Rule with drafting amendments.1.4.2 Words and expression defined in theCorporations Act2.2 WORDS AND EXPRESSIONS DEFINED INTHE CORPORATIONS ACT2.2.1 Words and expressions defined have thesame meaning in these RulesASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments. Words and expressions defined in theCorporations Act have the same meaning in these Market IntegrityRules unless otherwise defined or specified.1.4.3 Definitions 2.10 Definitions ASIC has adopted a number of definitions from this ASX Market Rule,with drafting amendments.There are new definitions for:• “Accreditation Examination”• “Accredited Futures Adviser”• “Commencement Date”• “Company Announcements Office”• “Compliance Education Requirements”• “Compliance Manager”• “Continuing Professional Education Requirements”• “Corporations Act”• “DTR identifier”• “Financial Product Advice”• “Futures Option”• “LEPOs”• “Level One Accredited Derivatives Adviser”• “Level Two Accredited Derivatives Adviser”• “Market Listing Rules”• “Market Operating Rules”Copyright Australian Securities and Investments Commission. Reproduced with permission.
LexisNexis Appendix: ASIC Market Integrity Rules (ASX Market) 2010ASIC/ASX MIRChapter 2: Participants and RepresentativesASX Market Rule/Procedure/Appendices toProcedureExplanation of any differences• “Market Operator”• “NGF”• “Operating Rules”• “Other Regulated Entities”• “Overseas Broker”• “Relevant Activities”• “Renewal Period”• “Settlement Participant”• “Training Register”.[Chapter heading]Part 2.1 Management requirements 3.6 MANAGEMENT REQUIREMENTS [Part heading]2.1.1 Management structure 3.6.1 Management structure ASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments. A Market Participant’s managementstructure must ensure compliance with both the ASX Market Rulesand the Market Integrity Rules (which are based on existing ASXMarket Rules).2.1.2 Notification of management structure 3.6.1(b) Management structure4.3.2(b)(iv) Change of Directors, ResponsibleExecutives, management structures and otherdetailsASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments. Existing Market Participants must give toASIC a copy of their management structure and allocation ofresponsibilities among Responsible Executives within 3 months of theCommencement Date. New Market Participants must give to ASIC acopy of their management structure and allocation of responsibilitiesamong Responsible Executives within 10 Business Days of becominga Market Participant. All Market Participants must notify ASIC within10 Business Days of changes to their management structure orallocation of responsibilities among Responsible Executives.Copyright Australian Securities and Investments Commission. Reproduced with permission.
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ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis

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