ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis

More documents

Recommendations

Info

LexisNexis Appendix: ASIC Market Integrity Rules (ASX Market) 2010ASIC/ASX MIR3.4.2 Confirmations—Accumulation and priceaveragingASX Market Rule/Procedure/Appendices toProcedure7.9.2 Confirmations—accumulation and priceaveragingExplanation of any differencesASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments.3.4.3 Confirmations—Other than Retail Clients 7.9.3 Confirmations—clients other than RetailClientsASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments. The notification to the client must state thatMarket Transactions are subject to (among other things) the ASXMarket Rules and the Market Integrity Rules.Part 3.5 Client Money and Property 7.11 CLIENT AND MONEY AND PROPERTY [Part heading]3.5.1 Trust accounts—Cash MarketTransactions and Options Market Transactions3.5.2 Segregated accounts or trust accounts—Futures Market Transactions7.11.2 Trust accounts—Cash MarketTransactions and Options Market Transactions7.11.3 Segregated accounts or trust accounts—Futures Market TransactionsASIC has adopted this ASX Market Rule as a Market Integrity Rule,without drafting amendments.ASIC has adopted this ASX Market Rule as a Market Integrity Rule,without drafting amendments.3.5.3 Bank accounts to be with Australian ADI 7.11.4 Bank accounts to be with Australian ADI ASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments.3.5.4 Approved foreign banks 7.11.5 Approved foreign banks ASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments. ASIC may approve foreign banks, andimpose conditions on the use of foreign banks, under the MarketIntegrity Rule.3.5.5 Change of rating or approval of ADI 7.11.6 Change of rating or approval of ADI ASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments.3.5.6 Liquidity requirement—Clients’ segregatedaccounts—Futures Market Transactions3.5.7 Top up requirement—Clients’ segregatedaccounts—Futures Market Transactions7.11.7 Liquidity requirement—clients’segregated accounts—Futures MarketTransactions7.11.8 Top up requirement—clients’ segregatedaccounts—Futures Market TransactionsASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments.ASIC has adopted this ASX Market Rule and Procedure as a singleMarket 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 differencesProcedure 7.11.8 TOP UP REQUIREMENT—CLIENTS’ SEGREGATED ACCOUNTS—FUTURES3.5.8 Reconciliation of clients’ segregatedaccounts7.11.9 Reconciliation of clients’ segregatedaccountsProcedure 7.11.9 RECONCILIATION OFCLIENTS’ SEGREGATED ACCOUNTSAppendix 7.11.9 RECONCILIATION OF CLIENTFUNDSASIC has adopted this ASX Market Rule, Procedure and Appendix asa single Market Integrity Rule, with drafting amendments. Termscurrently used in the Appendix are defined in the Market IntegrityRule.3.5.9 Reconciliation of trust accounts 7.11.10 Reconciliation of trust accountsProcedure 7.11.10 RECONCILIATION OFTRUST ACCOUNTSASIC has adopted this ASX Market Rule and Procedure as a singleMarket Integrity Rule, with drafting amendments.3.5.10 Obligation to notify ASIC in respect ofreconciliation7.11.11 Obligation to notify ASX in respect ofreconciliationProcedure 7.11.11 OBLIGATION TO NOTIFYASX IN RESPECT OF RECONCILIATIONASIC has adopted this ASX Market Rule and Procedure as a singleMarket Integrity Rule, with drafting amendments. Market Participantsmust notify ASIC of certain matters relating to reconciliations.3.5.11 Schedule of trust amounts 7.11.12 Schedule of trust amounts ASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments.Part 3.6 Prohibition of advice to Client 7.18 PROHIBITION OF ADVICE TO CLIENT [Part heading]3.6.1 Definitions used in this Part 3.6 7.18.1 Definitions used in Part 7.18 ASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments. The definition of “Chinese Walls” has beenincorporated into Market Integrity Rule 3.6.3. Market Participants arenot required to advise ASIC that they have created Chinese Walls.ASIC will not maintain a register of Chinese Walls.Copyright Australian Securities and Investments Commission. Reproduced with permission.
Page 3:
LexisNexis ASIC Market Integrity Ru
Page 7 and 8:
Page 9 and 10:
Page 11 and 12:
Page 13 and 14:
Page 16:
Page 19:
Page 22 and 23:
Page 24 and 25:
Page 26 and 27:
Page 28 and 29:
Page 30 and 31:
Page 32 and 33:
Page 34 and 35:
Page 36 and 37:
Page 38 and 39:
Page 40 and 41:
Page 42 and 43:
Page 44 and 45:
Page 46:
Page 49 and 50:
Page 51 and 52:
Page 53 and 54:
Page 55 and 56:
Page 57 and 58:
Page 59 and 60:
Page 61 and 62:
Page 63 and 64:
Page 65 and 66: LexisNexis ASIC Market Integrity Ru
Page 101 and 102: LexisNexis Appendix: ASIC Market In
Page 115: LexisNexis Appendix: ASIC Market In
show all

ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis

You also want an ePaper? Increase the reach of your titles

Delete template?

Save as template?