ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis

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LexisNexis Appendix: ASIC Market Integrity Rules (ASX Market) 2010ASIC/ASX MIR2.4.8 Accreditation—Level Two AccreditedDerivatives AdviserASX Market Rule/Procedure/Appendices toProcedure8.5.1 Initial ApplicationProcedure 8.5.1 INITIAL APPLICATION(ACCREDITED ADVISOR—CONTINUED))Appendix 8.5.1(A)—3 APPLICATION TO BE ALEVEL TWO ACCREDITED DERIVATIVESADVISER AND EXTENT OF ADVICEExplanation of any differencesASIC has adopted this ASX Market Rule and Procedure (to the extentthey relate to Level Two Accredited Derivatives Advisers) and thisAppendix as a single Market Integrity Rule, with drafting amendments.Market Participants must apply to ASIC for accreditation of theiradvisers. ASIC may approve examinations for Level Two AccreditedDerivatives Advisers.2.4.9 Acceptance of application 8.5.1 Initial Application ASIC has adopted elements of this ASX Market Rule as a separateMarket Integrity Rule, with drafting amendments. ASIC will accredit aperson as an adviser if the requirements of the relevant MarketIntegrity Rules are met, and will give a written notice to the MarketParticipant setting out the next Renewal Date and any conditions onthe accreditation. ASIC may seek further information from the MarketParticipant before making a decision.2.4.10 Rejection of application 8.5.2 Rejection of Application ASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments. The Market Integrity Rule provides thatASIC will reject an application for accreditation if the requirements ofthe relevant Market Integrity Rules are not met, and will give a writtennotice to the Market Participant setting out the reasons for rejectingthe application. ASIC may seek further information from the MarketParticipant before making a decision.2.4.11 Exemption for other accreditation andexperience8.6.1 Exemption for other accreditation andexperience8.6.2 Further information8.6.3 Examination may be requiredASIC has adopted these ASX Market Rules as a single MarketIntegrity Rule, with drafting amendments. ASIC may give anexemption from the examination requirement.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 differences2.4.12 Examinations 8.7 EXAMINATIONS8.7.1 Maximum number of examinations8.7.2 Permission to sit additional examinationProcedure 8.7.2 PERMISSION TO SITADDITIONAL EXAMINATIONSAppendix 8.7.2—Application for sitting additionalaccreditation examination under Rule 8.72.4.13 Renewal of accreditation 8.8 RENEWAL OF ACCREDITATION8.8.1(c) RenewalProcedure 8.8.1 RENEWAL OFACCREDITATIONAppendix 8.8.1(C) APPLICATION FORRENEWAL OF ACCREDITATION UNDERRULE 8.8 AND ATTACHMENT TOAPPLICATION FOR RENEWAL OFACCREDITATION UNDER RULE 8.8ASIC has adopted these ASX Market Rules, this Procedure and thisAppendix as a single Market Integrity Rule, with drafting amendments.Market Participants may apply to ASIC for permission for a person tosit an additional examination.ASIC has adopted paragraph (c) of this ASX Market Rule and thisProcedure and Appendix as a single Market Integrity Rule, withdrafting amendments. Market Participants may make applications forrenewal at any time between 60 days prior to the Renewal Date and 7days prior to the Renewal Date.2.4.14 Acceptance of application Rule 8.8.1(d) Renewal ASIC has adopted paragraph (d) of this ASX Market Rule as aseparate Market Integrity Rule, with drafting amendments. ASIC willnotify a Market Participant when it accepts an application for aperson’s accreditation to be renewed and will specify the nextRenewal Date in the notification. ASIC may seek further informationfrom the Market Participant before making a decision.2.4.15 Rejection of application or renewalsubject to conditions8.8.2 Renewal subject to conditions ASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments. ASIC may either reject an application forrenewal of accreditation, or renew a person’s accreditation subject toconditions.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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