ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis
ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis
ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis
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<strong>LexisNexis</strong> Appendix: <strong>ASIC</strong> <strong>Market</strong> <strong>Integrity</strong> <strong>Rules</strong> (<strong>ASX</strong> <strong>Market</strong>) <strong>2010</strong><strong>ASIC</strong>/<strong>ASX</strong> MIR<strong>ASX</strong> <strong>Market</strong> Rule/Procedure/Appendices toProcedureExplanation of any differences2.4.3 Covered Call Option Strategy 8.4.1 Types of accredited advisersProcedure 8.4.1 TYPES OF ACCREDITEDADVISERS<strong>ASIC</strong> has adopted this <strong>ASX</strong> <strong>Market</strong> Rule and Procedure (to the extentit relates to Covered Call Option Strategies) as a single <strong>Market</strong><strong>Integrity</strong> Rule, with drafting amendments.2.4.4 Extent of advice to clients—Level TwoAccredited Derivatives Adviser2.4.5 Extent of advice to clients—AccreditedFutures Adviser8.4.1 Types of accredited advisersProcedure 8.4.1 TYPES OF ACCREDITEDADVISERS8.4.1 Types of accredited advisersProcedure 8.4.1 TYPES OF ACCREDITEDADVISERS<strong>ASIC</strong> has adopted this <strong>ASX</strong> <strong>Market</strong> Rule and Procedure (to the extentit relates to Level Two Accredited Derivatives Advisers) as a single<strong>Market</strong> <strong>Integrity</strong> Rule, with drafting amendments.<strong>ASIC</strong> has adopted this <strong>ASX</strong> <strong>Market</strong> Rule and Procedure (to the extentit relates to Accredited Futures Advisers) as a single <strong>Market</strong> <strong>Integrity</strong>Rule, with drafting amendments.2.4.6 Accreditation—Accredited Futures Adviser 8.5.1 Initial ApplicationProcedure 8.5.1 INITIAL APPLICATION(ACCREDITED ADVISOR)Appendix 8.5.1(A)—1 APPLICATION TO BE ANACCREDITED FUTURES ADVISER<strong>ASIC</strong> has adopted this <strong>ASX</strong> <strong>Market</strong> Rule and Procedure (to the extentthey relate to Accredited Futures Advisers) and these Appendices asa single <strong>Market</strong> <strong>Integrity</strong> Rule, with drafting amendments. <strong>Market</strong>Participants must apply to <strong>ASIC</strong> for accreditation of their advisers.<strong>ASIC</strong> may approve educational modules, subjects or readingmaterials for Accredited Futures Advisers.Appendix 8.5.1(D)—1 DECLARATION BYAPPLICANT FOR ACCREDITATION AS ANACCREDITED FUTURES ADVISER2.4.7 Accreditation—Level One AccreditedDerivatives Adviser8.5.1 Initial ApplicationProcedure 8.5.1 INITIAL APPLICATION(ACCREDITED ADVISOR—CONTINUED))Appendix 8.5.1(A)—2 APPLICATION TO BE ALEVEL ONE ACCREDITED DERIVATIVESADVISER AND EXTENT OF ADVICE<strong>ASIC</strong> has adopted this <strong>ASX</strong> <strong>Market</strong> Rule and Procedure (to the extentthey relate to Level One Accredited Derivatives Advisers) and thisAppendix as a single <strong>Market</strong> <strong>Integrity</strong> Rule, with drafting amendments.<strong>Market</strong> Participants must apply to <strong>ASIC</strong> for accreditation of theiradvisers. <strong>ASIC</strong> may approve examinations, educational modules orsubjects for Level One Accredited Derivatives Advisers.Copyright Australian Securities and Investments Commission. Reproduced with permission.
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