ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis

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LexisNexis ASIC Market Integrity Rules (ASX Market) 2010“Commencement Date” means the date this instrument commences, as set out in Rule 1.1.3.“Company Announcements Office” means the office of the Market Operator that processesannouncements regarding Listed Entities for release to the Market.“Compliance Education” means education or professional development directly related tocompliance obligations, policies, procedures and ethics with specific relevance to theobligations of the Market Participant and the Responsible Executive under these Rules, theMarket Operating Rules, the Clearing Rules and the Settlement Rules.“Compliance Education Requirements” means the successful completion of 8 hours ofCompliance Education during the period from 1 July each year to 30 June in the followingyear.“Compliance Manager” means a person who has responsibility for all or part of thecompliance function in the business of the Market Participant in connection with the Market.“Conditional Sale” means a sale which is subject to fulfilment of conditions and made on amarket declared by the Market Operator to be a conditional market.“Continuing Professional Education Requirements” means the requirements of Rule2.4.21.“Contract Series” means a Futures Series or an Option Series.“Controlled Trust” means a trust in relation to which an Employee, Immediate Family of anEmployee or a company controlled by an Employee:(a) is a trustee;(b) holds more than 50% of the whole beneficial interest; or(c) controls the trust.“Controller” means:(a) a person holding 20% or more of the total votes attached to voting shares of a MarketParticipant or a person who, together with Related Parties, holds 20% or more of suchvotes; or(b)a person who has the power to control the Market Participant, whether that power isdirect or indirect or is, or can be, exercised as a result of, by means of, in breach of, orby revocation of, trusts, relevant agreements and practices, or any of them, and whetheror not they are enforceable,but for the purposes of Part 5.2 does not include an entity if the entity, a holding company ofthe entity, or a subsidiary of the entity through which the entity has an interest in the MarketParticipant is an entity listed on the Market or with any other Australian market licensee or aRecognised Overseas Stock Exchange.“Corporations Act” means the Corporations Act 2001 (Cth).Copyright Australian Securities and Investments Commission. Reproduced with permission.
LexisNexis ASIC Market Integrity Rules (ASX Market) 2010“Cross” or “Crossing”, means a transaction in respect of which a Trading Participant acts:(a)(b)on behalf of both buying and selling clients to that transaction; oron behalf of a buying or selling client on one side of that transaction and as Principal onthe other side.“Cross-Market Combination” means a transaction consisting of one or more componentMarket Transactions and one or more transactions in Non-ASX Contracts, in a specific ratio,in respect of which:(a)(b)(c)entry into each component Market Transaction and each component transaction in aNon-ASX Contract is contingent on entry into each of the other component MarketTransactions and transactions in Non-ASX Contracts;the combined transaction has a net price; andeach transaction is for the same client.“CSPA Session State” means the session on the Trading Platform, known as the ClosingSingle Price Auction, during which the following parameters apply:(a)(b)(c)(d)an Auction is conducted on commencement of the session;no Bids and Offers may be entered, amended or cancelled in the Trading Platform;Qualifying Bids and Offers that have not been matched in the Auction will be carriedthrough to the next session In Price/Time Priority; andno trades may be reported.“Dealing Rules” means the Rules and the Market Operating Rules that govern the submissionof orders and the execution and reporting of Market Transactions on a Trading Platform.“Derivative” has the meaning given by section 761D of the Corporations Act.“Derivative/Cash Combination” means a transaction consisting of one or more componentCash Market Transactions and one or more component Derivatives Market Transactions, in aspecific ratio, in respect of which:(a)(b)(c)entry into each component Cash Market Transaction and each component DerivativesMarket Transaction is contingent on entry into each other component Cash MarketTransaction and Derivatives Market Transaction;the combined transaction has a net price; andeach transaction is for the same client.“Derivatives Combination” means a Derivatives Only Combination, a Derivative/CashCombination or a Cross-Market Combination.“Derivatives Market Contract” means a Futures Market Contract, an Options MarketContract and any other contract that the Market Operator authorises for trading on a TradingPlatform as a Derivatives Market Contract.“Derivatives Market Transaction” means a transaction between Trading Participants forone or more Derivatives Market Contracts.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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