ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis

LexisNexis Appendix: ASIC Market Integrity Rules (ASX Market) 2010ASIC/ASX MIR2.3.3 Annual review and representation ofMarket Participant2.3.4 Continuing education requirements forResponsible Executives2.3.5 Annual continuing education andcompliance self-assessmentPart 2.4 Retail Client Advisor AccreditationASX Market Rule/Procedure/Appendices toProcedure4.1.3(f) Responsibilities of ResponsibleExecutiveProcedure 4.1.3 RESPONSIBILITIES OFRESPONSIBLE EXECUTIVEAppendix 4.1.3 RESPONSIBILITIES OFRESPONSIBLE EXECUTIVE4.8.1 RESPONSIBLE EXECUTIVECOMPLIANCEProcedure 4.8.1 RESPONSIBLE EXECUTIVECOMPLIANCE4.8.1 RESPONSIBLE EXECUTIVECOMPLIANCEProcedure 4.8.1 RESPONSIBLE EXECUTIVECOMPLIANCEAppendix 4.8—2 RESPONSIBLE EXECUTIVE(RE) CONTINUING EDUCATION SELFASSESSMENTS8.3 RETAIL ADVISERS MUST BEACCREDITEDExplanation of any differencesASIC has adopted paragraph (f) of this ASX Market Rule and thisProcedure and Appendix as a single Market Integrity Rule, withdrafting amendments. A Market Participant must ensure itsResponsible Executives perform an annual review and provide anannual representation to the Market Participant. A Market Participantmust retain documentation relating to the review and representation.ASIC has adopted this ASX Market Rule and part of this Procedure asa Market Integrity Rule, with drafting amendments. ASIC may approveCompliance Education Requirements for Responsible Executives.There is a transitional Rule for the period from the CommencementDate to 30 June 2011.ASIC has adopted this ASX Market Rule, this Procedure and thisAppendix as a single Market Integrity Rule, with drafting amendments.Market Participants must provide to ASIC an annual self-assessmentthat relates to compliance by Responsible Executives with certainMarket Integrity Rules (which are based on the ASX Market Rules).There is a transitional rule for the period from the commencementdate to 30 June 2011.[Part heading]2.4.1 Accreditation required 8.3.1 Accreditation required8.3.2 Purporting to be an accredited adviserASIC has adopted these ASX Market Rules as a single MarketIntegrity Rule, with drafting amendments.2.4.2 Extent of advice to clients—Level OneAccredited Derivatives Adviser8.4.1 Types of accredited advisersProcedure 8.4.1 TYPES OF ACCREDITEDADVISERSASIC has adopted this ASX Market Rule and Procedure (to the extentit relates to Level One Accredited Derivatives Advisers) as a singleMarket Integrity Rule, with drafting amendments.Copyright Australian Securities and Investments Commission. Reproduced with permission.