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 differences2.1.3 Supervisory procedures 3.6.3 Supervisory procedures ASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments. A Market Participant’s supervisory policiesand procedures must ensure compliance with the ASX Market Rules,the Corporations Act and the Market Integrity Rules (which are basedon existing ASX Market Rules).2.1.4 Persons involved in the business—Goodfame and character requirement3.3.2 Assessment of character3.4.2 Integrity of applicant which is a bodycorporate3.6.4(a) and (b) Persons involved in thebusiness3.6.5(a) Responsible Executive requirementsASIC has adopted these ASX Market Rules as a single MarketIntegrity Rule, with drafting amendments. A Market Participant mustensure its Employees and other persons involved in the business(which includes Responsible Executives) are of good fame andcharacter having regard to the matters set out in the Market IntegrityRule.2.1.5 Unprofessional Conduct 4.1.1(w) General compliance by MarketParticipants3.6.5(d) Responsible Executive requirements4.1.3(c) Responsibilities of ResponsibleExecutiveASIC has adopted these paragraphs of the ASX Market Rules as asingle Market Integrity Rule with drafting amendments. MarketParticipants must not engage in Unprofessional Conduct and mustensure their Responsible Executives do not engage in UnprofessionalConduct.2.1.6 Responsibility for individuals involved inbusiness4.1.2 Responsibility for individuals involved inbusinessASIC has adopted this ASX Market Rule as a Market Integrity Rule,without drafting amendments.Part 2.2 Insurance and information requirements 4.6 INSURANCE REQUIREMENTS [Part heading]2.2.1 Insurance requirements—Obligation tohave insurance2.2.2 Insurance requirements—Insurance withRelated Body Corporate4.6.1 Obligation to have insurance ASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments.4.6.2 Insurance with Related Body Corporate ASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments. Market Participants must give to ASICinformation about insurance provided by a Related Body Corporate.Copyright Australian Securities and Investments Commission. Reproduced with permission.
LexisNexis Appendix: ASIC Market Integrity Rules (ASX Market) 2010ASIC/ASX MIRASX Market Rule/Procedure/Appendices toProcedureExplanation of any differences2.2.3 Insurance requirements—Notification ofamount and period of cover2.2.4 Insurance requirements— Notification ofclaims4.6.3 Notification of amount and period of cover ASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments. Market Participants must give to ASICinformation about an issue or renewal and a copy of the certificate ofinsurance.4.6.4 Notification of claims ASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments. Market Participants must give to ASICinformation about notification of claims.2.2.5 Information Requirements—Obligation tonotify of legal proceedingsPart 2.3 Responsible Executives2.3.1 Appointment or resignation of ResponsibleExecutives2.3.2 Ongoing responsibilities of MarketParticipants in relation to ResponsibleExecutives4.18 LEGAL PROCEEDINGS REQUIREMENTS4.18.1 Obligation to notify3.6.5(b) and (c) Responsible ExecutiveRequirementsProcedure 3.6.5 Responsible ExecutiveRequirements4.1.3(c) Responsibilities of ResponsibleExecutive4.3.2(a) and (b)(i) Change of Directors,Responsible Executives, managementstructures and other details4.1.3(a) and (b) Responsibilities of ResponsibleExecutiveASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments. Market Participants must give notificationof legal proceedings to both ASX and ASIC.[Part heading]ASIC has adopted these paragraphs of the ASX Market Rules andthis Procedure as a single Market Integrity Rule, with draftingamendments. A Market Participant must notify ASIC within 10Business Days of the appointment, removal or resignation of aResponsible Executive. ASIC will approve examination requirementsfor Responsible Executives. A Market Participant must ensure thatwhen it appoints a Responsible Executive, that person hasappropriate skills, knowledge and experience and has either satisfiedthe examination requirement under the ASX Market Rules prior to theCommencement Date or the ASIC examination requirement after theCommencement Date, and has maintained their ComplianceEducation since satisfying either examination requirement.ASIC has adopted paragraphs (a) and (b) of this ASX Market Rule asa Market Integrity Rule, with drafting amendments. A MarketParticipant must ensure its Responsible Executives supervise and areaccountable for their Relevant Activities.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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