ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis

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LexisNexis Appendix: ASIC Market Integrity Rules (ASX Market) 2010ASIC/ASX MIR3.1.9 Client Agreement for Partly PaidSecuritiesASX Market Rule/Procedure/Appendices toProcedure7.1.2 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—4 PARTLY PAID SECURITYCLIENT AGREEMENT FORM—TERMS 1–6Explanation of any differencesASIC has adopted this ASX Market Rule and Procedure (in so far asthey relate to the minimum terms of Client Agreements for Partly PaidSecurities) and this Appendix as a single Market Integrity Rule, withdrafting amendments. Market Participants must, in their ClientAgreements for Partly Paid Securities, make certain disclosures andobtain certain acknowledgements that are relevant to market integrityand reflect a number of current terms in this Appendix.3.1.10 Other terms of Client Agreements 7.1.2 Client Agreement Required for OptionsMarket Contracts, Futures Market Contracts,Warrants and Partly Paid SecuritiesASIC has adopted elements of this ASX Market Rule (to the extent itrelates to other terms included in Client Agreements) as a separateMarket Integrity Rule, with drafting amendments.3.1.11 Market Participant to keep copy of ClientAgreement and disclosures7.1.3 Market Participant to keep copy of ClientAgreement and disclosuresProcedure 7.1.3 MARKET PARTICIPANT TOKEEP COPY OF CLIENT AGREEMENT ANDDISCLOSURESASIC has adopted this ASX Market Rule and Procedure as a singleMarket Integrity Rule, with drafting amendments.3.1.12 Client agreement where MarketParticipant is not the Clearing Participant(Options Market Transactions only)3.1.13 Client agreement where MarketParticipant is the Clearing Participant (OptionsMarket Transactions only)7.1.4 Client agreement where Market Participantis not the Clearing Participant (Options MarketTransactions only)7.1.5 Client agreement where Market Participantis the Clearing Participant (Options MarketTransactions only)ASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments. The terms of the Wholesale ClientAgreement will be retained in the ASX Market Rules.ASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments. The terms of the Wholesale ClientAgreement will be retained in the ASX Market Rules.Part 3.2 Trading as Principal 7.3 TRADING AS PRINCIPAL [Part heading]3.2.1 Application 7.3.1 Application ASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments.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 differences3.2.2 Disclosure and consent 7.3.2 Disclosure and consent ASIC has adopted this ASX Market Rule a s a Market Integrity Rule,with drafting amendments.3.2.3 Confirmation must include disclosure 7.3.3 Confirmation must include disclosure ASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments.3.2.4 Brokerage and commission 7.3.4 Brokerage and commission ASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments.3.2.5 Extended meaning of dealing as Principal 7.3.5 Extended meaning of dealing as Principal ASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments.3.2.6 Register of persons who are regarded asPrincipal7.3.6 Register of persons who are regarded asPrincipalASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments.Part 3.3 Client Instructions 7.4 CLIENT INSTRUCTIONS [Part heading]3.3.1 Market Participant restrictions 7.4.1 Market Participant restrictions ASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments. Market Participants must act inaccordance with both the ASX Market Rules and the Market IntegrityRules (which are based on ASX Market Rules).3.3.2 Excessive trading 7.10.5 Excessive transactions in ManagedDiscretionary AccountASIC has adopted this ASX Market Rule as a Market Integrity Rule.Part 3.4 Reporting to Clients 7.9 REPORTING TO CLIENTS [Part heading]3.4.1 Confirmations—Form and timing 7.9.1 Confirmations—form and timingProcedure 7.9.1 CONFIRMATIONS—FORMAND TIMINGASIC has adopted this ASX Market Rule and Procedure as a singleMarket Integrity Rule, with drafting amendments. ASIC may permit aconfirmation to be in a form other than in writing or electronically. Theconfirmation must state that the confirmation is issued subject to(among other things) the ASX Market Rules and the Market IntegrityRules.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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