ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis

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LexisNexis Appendix: ASIC Market Integrity Rules (ASX Market) 2010ASIC/ASX MIR2.5.6 Trading Participant must allocate uniqueidentifierASX Market Rule/Procedure/Appendices toProcedure12.5.2(b) Trading Participant must allocateunique identifierExplanation of any differencesASIC has adopted paragraph (b) of this ASX Market Rule (to theextent it relates to DTRs) as a Market Integrity Rule, with draftingamendments.2.5.7 Records—DTRs 13.1.10 Records—identification of order sourceChapter 3: Client relationshipsProcedure 13.1.10 RECORDS—IDENTIFICATION OF ORDER SOURCEASIC has adopted paragraph (b) of this ASX Market Rule (to theextent it relates to DTRs) as a Market Integrity Rule, with draftingamendments.[Chapter heading]Part 3.1 Clients trading in products for first time7.1 REQUIREMENT—CLIENTS TRADING INPRODUCTS FOR THE FIRST TIME[Part heading]3.1.1 Documents to be given to a client 7.1.1(a) Documents to be given to client ASIC has adopted elements of paragraph (a) of this ASX Market Ruleas a separate Market Integrity Rule, with drafting amendments.3.1.2 Documents to be given to a client: Options,LEPOs and Warrants3.1.3 Information to be given to a client:Execution arrangements3.1.4 Information to be given to a client: Clearingarrangements for Equity Securities, LoanSecurities or Warrants7.1.1(a) Documents to be given to clientProcedure 7.1.1(a) DOCUMENTS TO BEGIVEN TO A CLIENT7.1.1(b) Documents to be given to clientProcedure 7.1.1(b) DOCUMENTS TO BEGIVEN TO A CLIENT7.1.1(c) Documents to be given to clientProcedure 7.1.1(c) DOCUMENTS TO BEGIVEN TO A CLIENTASIC has adopted elements of paragraph (a) of this ASX Market Ruleand this Procedure (to the extent it relates to the requirement toprovide explanatory booklets) as a single Market Integrity Rule, withdrafting amendments.ASIC has adopted paragraph (b) of this ASX Market Rule and thisProcedure (to the extent it relates to the requirement to discloseexecution arrangements) as a single Market Integrity Rule, withdrafting amendments.ASIC has adopted paragraph (c) of this ASX Market Rule and thisProcedure (to the extent it relates to the requirement to discloseclearing arrangements for Equity Securities, Loan Securities orWarrants) as a single Market Integrity Rule, with draftingamendments.Copyright Australian Securities and Investments Commission. Reproduced with permission.
LexisNexis Appendix: ASIC Market Integrity Rules (ASX Market) 2010ASIC/ASX MIR3.1.5 Information to be given to a client: Clearingarrangements for Futures Market Transactions3.1.6 Minimum terms of Client Agreement forFutures Market Contracts3.1.7 Minimum terms of Client Agreement forOptions Market ContractsASX Market Rule/Procedure/Appendices toProcedure7.1.1(d) Documents to be given to clientProcedure 7.1.1(d) DOCUMENTS TO BEGIVEN TO A CLIENT7.1.2 CLIENT AGREEMENT REQUIRED FOROPTIONS, FUTURES, WARRANTS ANDPARTLY PAID SECURITIESProcedure 7.1.2 CLIENT AGREEMENTREQUIRED FOR OPTIONS, FUTURES,WARRANTS AND PARTLY PAID SECURITIESAppendix 7.1.2—1 FUTURES CLIENTAGREEMENT—MINIMUM TERMS 3–9, 11, 12and 167.1.2 CLIENT AGREEMENT REQUIRED FOROPTIONS, FUTURES, WARRANTS ANDPARTLY PAID SECURITIESProcedure 7.1.2 CLIENT AGREEMENTREQUIRED FOR OPTIONS, FUTURES,WARRANTS AND PARTLY PAID SECURITIESAppendix 7.1.2—2 OPTIONS CLIENTAGREEMENT—MINIMUM TERMS 2– 7, 9, 10and 14Explanation of any differencesASIC has adopted paragraph (d) of this ASX Market Rule and thisProcedure (to the extent it relates to the requirement to discloseclearing arrangements for Futures Market Transactions) as a singleMarket Integrity Rule, with drafting amendments.ASIC has adopted this ASX Market Rule and Procedure (in so far asthey relate to the minimum terms of Client Agreements for FuturesMarket Contracts) and part of this Appendix as a single MarketIntegrity Rule, with drafting amendments. Market Participants must, intheir Client Agreements for Futures Market Contracts, make certaindisclosures and obtain certain acknowledgements that are relevant tomarket integrity and reflect a number of current terms in thisAppendix.ASIC has adopted this ASX Market Rule and Procedure (in so far asthey relate to the minimum terms of Client Agreements for OptionsMarket Contracts) and part of this Appendix as a single MarketIntegrity Rule, with drafting amendments. Market Participants must, intheir Client Agreements for Options Market Contracts, make certaindisclosures and obtain certain acknowledgements that are relevant tomarket integrity and reflect a number of current terms in thisAppendix.3.1.8 Client Agreement for Warrants 7.1.2 Client Agreement Required for OptionsMarket Contracts, Futures Market Contracts,Warrants and Partly Paid SecuritiesProcedure 7.1.2 CLIENT AGREEMENTREQUIRED FOR OPTIONS, FUTURES,WARRANTS AND PARTLY PAID SECURITIESAppendix 7.1.2—3 ASX WARRANT CLIENTAGREEMENT FORM—TERMS 1–4ASIC has adopted this ASX Market Rule and Procedure (in so far asthey relate to the minimum terms of Client Agreements for Warrants)and part of this Appendix as a single Market Integrity Rule, withdrafting amendments. Market Participants must, in their ClientAgreements for Warrants, make certain disclosures and obtain certainacknowledgements that are relevant to market integrity and reflect anumber of current terms in this Appendix.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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